Head of Broker Dealer

Galaxy is seeking a Head of Brokerage / Broker Dealer CEO to 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.

Overview

Department

Investment & Trading

Job type

Full time

Compensation

Salary not specified

Location

Global

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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 You’ll Do

Act as one of two principals for the introducing Broker Dealer, overseeing its operations and ensuring alignment with GalaxyOne’s mission and objectives.

Manage the second principal, a compliance professional, and supervise client service representatives to ensure exceptional service delivery and operational efficiency.

Ensure full compliance with all securities regulations (e.g., SEC, FINRA, and state-specific requirements), leveraging in-house and external compliance resources.

Collaborate with senior leadership to define the strategy and roadmap for brokerage products, identifying opportunities for innovation, product expansion, and market differentiation.

Oversee relationships with the clearing Broker Dealer and other external partners to ensure seamless execution of brokerage services.

Champion a client-centric approach, ensuring the brokerage offering delivers a superior, tech-driven experience for GalaxyOne users.

Identify and mitigate operational, regulatory, and reputational risks associated with the Broker Dealer’s activities.

Establish and monitor KPIs to measure the success of the brokerage operations, client satisfaction, and product growth, reporting progress to senior leadership.

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

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.

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.

Deep knowledge of SEC, FINRA, and state securities regulations, with a proven track record of ensuring compliance in a broker-dealer environment.

Strong ability to lead and manage teams, including compliance professionals and client service representatives, fostering a culture of accountability and innovation.

Experience contributing to product strategy and roadmaps, ideally within a fintech or digital platform environment.

Familiarity with fintech platforms, digital brokerage solutions, and blockchain-based technologies is a plus.

Exceptional interpersonal and presentation skills, with the ability to engage internal teams, external partners, and regulators effectively.

Bachelor’s degree in finance, business, or a related field; MBA or advanced degree preferred.

Bonus Points

Entrepreneurial mindset with a track record of building or scaling brokerage operations in a competitive, technology-driven market.

Experience working with introducing and clearing Broker Dealer relationships.

Established network within the securities and fintech ecosystem.

Passion for leveraging technology to transform traditional brokerage services.

Comfort operating in a high-growth, dynamic environment with a bias for action.

What We Offer

Competitive base salary and discretionary bonus

Flexible Time Off (i.e. unlimited paid vacation days)

Company paid Holidays (11)

Company paid sick leave

Company-paid health and protective benefits for employees, partners, and other dependents

3% 401(k) company contribution

Generous paid Parental Leave

Free virtual coaching and counseling sessions through Headspace

Opportunities to learn about the Crypto industry

Smart, entrepreneurial, and fun colleagues

Employee Resource Groups

Diversity Statement

Galaxy respects diversity and seeks to provide equal employment opportunities to all employees and job applicants for employment without regard to actual or perceived age, race, color, creed, religion, sex or gender (including pregnancy, childbirth, lactation and related medical conditions), gender identity or gender expression (including transgender status), sexual orientation, marital or partnership or caregiver status, ancestry, national origin, citizenship status, disability, military or veteran status, protected medical condition as defined by applicable state or local law, genetic information or predisposing genetic characteristic, or other characteristic protected by applicable federal, state, or local laws and ordinances. We will endeavor to make a reasonable accommodation to the known limitations of a qualified applicant with a disability unless the accommodation would impose an undue hardship on the operation of our business. If you believe you require such assistance to complete the application process or to participate in an interview, please contact careers@galaxy.com.