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Chief Compliance Officer

Landa

Landa

This job is no longer accepting applications

See open jobs at Landa.
Legal
New York, NY, USA
Posted on Sunday, May 15, 2022

Chief Compliance Officer

New York

Description

Seeking a Chief Compliance Officer with experience forming a Broker/Dealer to be based out of our NYC office. Landa is democratizing the real estate investment space and growing quickly, and we’re looking for an experienced executive with a FINRA / BD / ATS background who’s ready to help build a startup.

Benefits
  • Stock Option Plan
  • PTO and company holidays
  • 401k
  • Health Care Plan (Medical, Dental & Vision)
Salary
150,000-200,000$
Requirements
  • A minimum of 8 years experience as a compliance professional at a broker-dealer or regulator (diversity of experience strongly preferred)
  • Active Series 7 and 24, 27, 63, 79
  • Experience with rules and regulations applicable to broker-dealers
  • Substantial experience managing regulatory exams and responding to regulatory inquiries
  • Excellent writer and communicator
  • Strong attention to—or even obsession with— detail
  • Ability to initiate and drive projects to completion with minimal guidance and with a sense of urgency
  • Strong organization, prioritization and time management skills

Bonus points

  • Either been a CCO and/or AML compliance officer, or the number two compliance professional, for a FINRA member broker-dealer
  • Juris Doctor degree
  • Familiarity with operations of broker-dealers subject to Rule 15c3-3 of the Securities Exchange Act of 1934
  • Experience with Regulation A and registration exemptions under the Securities Act of 1933

This job is no longer accepting applications

See open jobs at Landa.