Chief Compliance Officer
The Chief Compliance Officer will own compliance across Grayscale's registered investment adviser, broker-dealer, registered fund complex, and product strategies, including digital asset and on-chain activities. The role reports to the Chief Legal Officer and combines regulatory expertise, program building, stakeholder guidance, and hands-on team leadership.
Responsibilities
- Design, implement, and maintain a comprehensive compliance program covering RIA, B/D, and 40 Act registered fund obligations.
- Monitor SEC, FINRA, NFA, and CFTC rulemaking and translate regulatory developments into policy updates and business guidance.
- Assess compliance risk for new products, funds, vehicles, and business lines and recommend controls.
- Oversee marketing compliance and vendor due diligence programs.
- Serve as the primary point of contact for the SEC, FINRA, and NFA during regulatory examinations.
- Maintain proactive regulatory relationships, audit-ready documentation, and remediation tracking.
- Build a firm-wide culture of compliance and provide practical compliance training.
- Partner with Legal, Finance, Product, and Distribution on compliance requirements for new initiatives.
- Advise stakeholders on complex and emerging compliance risks.
- Hire, manage, and develop a growing compliance team.
Requirements
- 15+ years of compliance experience in financial services with senior leadership responsibility.
- Expertise across B/D, RIA, and 40 Act compliance programs and applicable securities regulations.
- Experience leading regulatory examinations and managing relationships with the SEC, FINRA, and/or NFA.
- Experience building and developing a compliance team of 5 or more professionals.
- Ability to provide accurate, direct, and commercially practical guidance under time pressure.
- FINRA Series 7 and Series 24 licenses required.
- Experience with digital assets, cryptocurrency products, blockchain technology, and U.S. digital asset regulation.
- Experience in a high-growth or scaling firm where compliance programs were built or significantly expanded.
- J.D. or advanced degree in a relevant discipline.
- Experience with ETFs, statutory trusts, or other registered products in emerging asset classes.