What are the responsibilities and job description for the Compliance Associate, Marketing Compliance position at Grayscale Investments?
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. 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.
We’re proud of our deep crypto expertise and work closely with individual and institutional investors as they explore this asset class as part of their portfolio allocation.
Position Summary
Grayscale Investments is seeking a Compliance Associate to support the Firm’s Registered Investment Adviser and Broker-Dealer. Grayscale Investments is the world’s largest digital currency asset manager. Through its family of investment products, Grayscale provides access to the digital currency asset class in the form of a traditional security without the challenges of buying, storing, and safekeeping digital currencies directly. With a proven track record and unrivaled experience, Grayscale’s products operate within existing regulatory frameworks, creating secure and compliant exposure for investors.
Responsibilities:
- Assist with regulatory marketing filings, including Free Writing Prospectuses.
- Work closely with Marketing and Sales colleagues to ensure compliance with the Firm’s policies and procedures and to assist with efficient functioning of marketing materials delivery and workflows.
- Assist the Director of Compliance in facilitating the day-to-day operations of the Firm’s marketing compliance program, including the Free Writing Prospectus process and assist in reviewing advertising and marketing materials (including social media) for the Firm’s Registered Investment Adviser and Broker-Dealer.
- Assist in the monitoring of marketing activities to promote compliance with internal policies, applicable rules and regulations.
- Perform targeted reviews in connection with the specific ETF/ETP compliance requirements, including web and document disclosure, and other regulatory and compliance requirements.
- Support the Firm’s compliance program under Rules 38a-1 of the Investment Company Act and 206(4)-7 of the Investment Advisers Act.
- Assist the Compliance team on special projects, as applicable.
- Effectively work and communicate across all levels of the organization.
- Develop in-depth knowledge of the Firm’s investment products and capabilities.
- Stay current on developments in the digital currency ecosystem.
Prior Experience/Requirements:
- Bachelor's degree with strong academic achievement.
- 2-5 years of experience reviewing different types of marketing materials including, registered fund materials, website & social media content, customized investor presentations and distribution of materials for retail and accredited investors.
- Interest in learning the regulatory obligations under Rule 206(4)-1 of the Investment Advisers Act, SEC Marketing Rule, and FINRA Rule 2210, and any other applicable rules, regulations, SEC no-action letters, and interpretive guidance.
- Ability to provide accurate, direct and practical advice in a timely fashion.
- Detail oriented with the ability to assess and prioritize projects.
- Ability to work effectively on a team.
- Must be collaborative, flexible and adaptable, reliable with a strong ‘can do attitude.’
- Ability to operate in a fast-paced environment.
- Strong interest in digital assets, blockchain technology, and related concepts.
- Series 7 required, and willingness to obtain Series 24