Chief Compliance Officer

The role

The Chief Compliance Officer will lead and own the compliance program across the Registered Investment Adviser, Broker-Dealer, and registered fund complex. This role involves designing, implementing, and improving a scalable compliance infrastructure while leading a growing compliance team.

What you will do

• Design, implement, and maintain a comprehensive compliance program covering RIA, B/D, and 40 Act registered fund obligations.
• Monitor proposed SEC, FINRA, NFA, and CFTC rulemaking and translate developments into policy updates.
• Assess compliance risk for all new products, funds, vehicles, and business lines prior to launch.
• Oversee marketing compliance and vendor due diligence programs.
• Serve as primary point of contact for the SEC, FINRA, and NFA.
• Maintain regulatory relationships and manage examination logistics.
• Build and sustain a firm-wide culture of compliance and ensure effective training.
• Partner with Legal, Finance, Product, and Distribution to identify compliance requirements for new initiatives.
• Advise business stakeholders on complex and emerging compliance risk scenarios.
• Hire, manage, and develop a growing compliance team.

Required qualifications

• 15+ years of compliance experience in financial services
• Substantive experience in a senior compliance leadership role with direct management responsibility
• Expertise across B/D, RIA, and 40 Act compliance programs
• Working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and applicable SEC, FINRA, NFA, and CFTC regulations
• Proven track record of leading regulatory examinations and managing relationships with the SEC, FINRA, and/or NFA
• Experience building, managing, and developing a compliance team of 5 or more professionals
• Ability to deliver accurate, direct, and commercially practical compliance guidance under time pressure
• FINRA Series 7 license
• FINRA Series 24 license
• Experience with digital assets, cryptocurrency products, blockchain technology, and the evolving U.S. regulatory framework governing digital asset managers
• Background working in a high-growth or scaling firm
• J.D. or advanced degree in a relevant discipline

Nice to have

• Experience with ETFs, statutory trusts, or other registered products in novel or emerging asset classes

Benefits

• Medical, Dental and Vision
• 401(k)-retirement plan with company match
• Generous PTO policy
• Flexible work environment with remote weeks
• Fertility and family planning benefits
• Health allowances
• Commuter reimbursement
• Other perks

About the company

Grayscale is the largest digital asset-focused investment platform in the world by AUM and offers the broadest selection of digital asset investment products in the U.S. based on number of products.