Head of Broker Dealer

Who We Are:
Galaxy is a global leader in digital assets and data center infrastructure, delivering solutions that accelerate progress in finance and artificial intelligence. We believe that blockchain and digital asset innovation will transform how value moves through the world – and we’re building the products and services to make that future a reality.
 
Our institutional digital assets platform spans trading, investment banking, asset management, staking, self-custody, and tokenization technology. We also invest in and operate cutting-edge data center infrastructure to power AI and high-performance computing, addressing the growing demand for scalable energy and compute in the U.S.
 
We work at the intersection of finance and technology, helping institutions, startups, and developers navigate a digitally native economy. Led by CEO and Founder Michael Novogratz, our team blends deep crypto expertise with institutional experience and a shared commitment to shaping the future of Web3 and AI.
 
Galaxy is headquartered in New York City, with offices across North America, Europe, the Middle East, and Asia.
 
To learn more about our businesses and products, visit www.galaxy.com.

What We Value:

We are a diverse team of free thinkers, and fast movers united to help investors and creators energize the global economy. We are looking for individuals who thrive in a culture of builders and overachievers and embrace high performance, transparent feedback, and a mission-first approach. Our culture shapes our way of working and gets us where we want to be.

• Seek Excellence.
• Be Selective To Be Effective.
• Be Highly Aligned, Loosely Coupled.
• Disagree Transparently.
• Encourage Independent Decision-Making.
• Build Dream Teams.

Who You Are:

The Head of Brokerage / Broker Dealer CEO will serve as one of two principals for GalaxyOne’s introducing Broker Dealer, overseeing its operations, compliance, and strategic growth. This role requires a seasoned leader with deep expertise in securities regulations, brokerage operations, and client service management. The successful candidate will ensure seamless coordination with our clearing Broker Dealer, drive compliance with all applicable regulations, and contribute strategically to the development and roadmap of brokerage products within the GalaxyOne platform. This is an entrepreneurial leadership role for a visionary who thrives in a fast-paced, innovative environment.

What You’ll Do:

• Broker Dealer Leadership: Act as one of two principals for the introducing Broker Dealer, overseeing its operations and ensuring alignment with GalaxyOne’s mission and objectives.
• Team Oversight: Manage the second principal, a compliance professional, and supervise client service representatives to ensure exceptional service delivery and operational efficiency.
• Regulatory Compliance: Ensure full compliance with all securities regulations (e.g., SEC, FINRA, and state-specific requirements), leveraging in-house and external compliance resources.
• Strategic Contribution: Collaborate with senior leadership to define the strategy and roadmap for brokerage products, identifying opportunities for innovation, product expansion, and market differentiation.
• Partnership Management: Oversee relationships with the clearing Broker Dealer and other external partners to ensure seamless execution of brokerage services.
• Client Experience: Champion a client-centric approach, ensuring the brokerage offering delivers a superior, tech-driven experience for GalaxyOne users.
• Risk Management: Identify and mitigate operational, regulatory, and reputational risks associated with the Broker Dealer’s activities.
• Performance Metrics: Establish and monitor KPIs to measure the success of the brokerage operations, client satisfaction, and product growth, reporting progress to senior leadership.
• Innovation & Growth: Drive the development and launch of new brokerage-related products or features, integrating cutting-edge technology and aligning with GalaxyOne’s vision.

What We’re Looking For:

• Experience: Minimum of 10+ years in the securities or brokerage industry, with at least 5 years in a senior leadership role overseeing broker-dealer operations or strategy.
• Licensing: Active FINRA Series 7, Series 24 (General Securities Principal), and Series 63 or 66 licenses required; additional relevant licenses (e.g., Series 4, 53, or 79) preferred.
• Regulatory Expertise: Deep knowledge of SEC, FINRA, and state securities regulations, with a proven track record of ensuring compliance i