Associate, Marketing Compliance at Grayscale Investments

Stamford, Connecticut, United States

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Not SpecifiedCompensation

Junior (1 to 2 years)Experience Level

Full TimeJob Type

UnknownVisa

Digital Assets, Cryptocurrency, Investment Management, Financial ServicesIndustries

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

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

Skills

Key technologies and capabilities for this role

Marketing ComplianceRegulatory FilingsFree Writing ProspectusesCompliance PoliciesRIA ComplianceBroker-Dealer ComplianceSEC RegulationsMarketing Review

Questions & Answers

Common questions about this position

What are the main responsibilities of the Associate, Marketing Compliance role?

Responsibilities include assisting with regulatory marketing filings like Free Writing Prospectuses, reviewing advertising and marketing materials for compliance, monitoring marketing activities, performing targeted reviews for ETF/ETP requirements, and supporting the compliance program under specific investment acts.

Is this a remote position or does it require office work?

This information is not specified in the job description.

What is the salary or compensation for this role?

This information is not specified in the job description.

What skills or experience are needed for this compliance associate position?

Key skills include knowledge of regulatory compliance for RIAs and Broker-Dealers, ability to review marketing materials and social media, monitoring marketing activities, working across organizational levels, and staying current on digital currency developments.

What kind of company culture does Grayscale Investments have?

Grayscale emphasizes deep crypto expertise, close collaboration with investors, an institutional mindset in the digital asset industry, and effective communication across all organizational levels.

Grayscale Investments

Manages investment products for digital assets

About Grayscale Investments

Grayscale Investments manages digital assets, focusing on cryptocurrency and blockchain markets. It offers investment products like exchange-traded funds (ETFs) and trusts, allowing clients to invest in digital currencies such as Bitcoin and Ethereum while ensuring regulatory compliance. The company earns revenue through management fees based on assets under management and serves a diverse clientele, including institutional investors. Grayscale's goal is to provide accessible investment opportunities in the digital asset space, helping clients diversify their portfolios.

New York City, New YorkHeadquarters

2013Year Founded

$886.6MTotal Funding

IPOCompany Stage

Crypto & Web3, Financial ServicesIndustries

51-200Employees

Risks

Increased competition from other digital asset firms could dilute Grayscale's market share.

Regulatory scrutiny on cryptocurrency products may lead to stricter compliance requirements.

Volatility of altcoins poses a risk of significant asset devaluation.

Differentiation

Grayscale offers regulated investment products in the digital asset space.

The company provides exposure to digital assets without direct ownership challenges.

Grayscale's Bitcoin Trust is the first SEC-reporting digital currency investment vehicle.

Upsides

Grayscale is expanding its product range with 39 new altcoins for Q1 2025.

The company predicts smart contracts will be a top-performing sector in Q1 2025.

Grayscale's inclusion of Solana DeFi apps highlights new investment opportunities.

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