Grayscale Investments

Chief Compliance Officer

Stamford, Connecticut, United States · Exec

Sponsorship not specifiedDetected 21 days ago

ComplianceLogisticsLeadershipCommunication

About the role

Reporting to the Chief Legal Officer, the CCO is the firm's senior compliance authority, responsible for designing, implementing, and continuously improving a compliance infrastructure that is rigorous, scalable, and commercially minded.
The ideal candidate brings deep regulatory expertise, a hands-on management style, and a genuine orientation toward enabling business growth within appropriate guardrails.

Responsibilities

Design, implement, and maintain a comprehensive compliance program covering RIA, B/D, and 40 Act registered fund obligations, including all policies, procedures, testing, and supervisory controls.
Assess compliance risk for all new products, funds, vehicles, and business lines prior to launch, delivering clear risk assessments and recommended controls to the CLO and relevant business leads.
Oversee the marketing compliance and vendor due diligence programs, setting standards and maintaining accountability for outcomes while empowering team members to lead day-to-day execution.
Serve as primary point of contact for the SEC, FINRA, and NFA, managing all examination logistics, document productions, and regulator communications from initial request through examination close.
Maintain the regulatory relationships proactively, anticipating exam risk, ensuring audit-ready documentation at all times, and keeping the CLO apprised of open matters and remediation status.
Build and sustain a firm-wide culture of compliance, serving as an accessible, practical resource for colleagues at all levels and ensuring consistent, effective compliance training across the organization.
Partner with Legal, Finance, Product, and Distribution to identify compliance requirements at the outset of new initiatives, providing guidance that enables teams to move quickly within regulatory boundaries.
Hire, manage, and develop a growing compliance team, establishing clear performance expectations and career pathways while maintaining a hands-on, player/coach presence.
This convergence of capabilities positions us to deliver investment solutions and client experiences that are both institutionally robust and technologically advanced, which we believe offers a competitive edge that is difficult to replicate.

Requirements

15+ years of compliance experience in financial services, including substantive experience in a senior compliance leadership role with direct management responsibility.
Proven track record of leading regulatory examinations and managing ongoing relationships with the SEC, FINRA, and/or NFA.
FINRA Series 7 and Series 24 licenses required.
Experience with digital assets, cryptocurrency products, blockchain technology, and the evolving U.S. regulatory framework governing digital asset managers.
J.D. or advanced degree in a relevant discipline.
Experience with ETFs, statutory trusts, or other registered products in novel or emerging asset classes.
Demonstrated expertise across B/D, RIA, and 40 Act compliance programs with hands-on 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.
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 and in ambiguous regulatory environments.
Background working in a high-growth or scaling firm where compliance programs were built or significantly expanded.
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Company info

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.
Our platform spans the full spectrum of institutional-grade solutions-from single-asset exposures to diversified and thematic strategies-with a goal of providing every investor with access to the hyper-expanding digital asset universe.
Our firm offers a rare combination of decades of traditional finance work experience and digital asset leadership that brings an institutional mindset to the maturing digital asset industry.

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This listing is sourced directly from Grayscale Investments's careers page and normalized into a canonical job model.