Chief Compliance Officer
New York, NY, USA
Posted on Friday, December 31, 2021
<div class="css-1o0ggr8"> <h1 class="css-j662fd"><span>Chief Compliance Officer</span></h1> <div class="css-0"><span>New York</span></div> <div class="css-fu29kw"> <div class="css-1ksrgfl"> <p class="css-1gw9ymv"><b><span>Description</span></b></p> <div> <p>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. <br></p> <p><br></p> <p><br></p> </div> <b><span>Benefits</span></b><div><ul> <li>Stock Option Plan</li> <li>PTO and company holidays</li> <li>401k</li> <li>Health Care Plan (Medical, Dental & Vision)</li> </ul></div> <b><span>Salary</span></b><div>150,000-200,000$</div> <div class="css-s93cls"><button class="css-18qag7o">APPLY NOW<img src="/_next/static/media/arrow-dark-green.cfe95d7b.svg" class="css-1potahh"></button></div> </div> <div class="css-1ksrgfl"> <b><span>Requirements</span></b><div> <ul> <li>A minimum of 8 years experience as a compliance professional at a broker-dealer or regulator (diversity of experience strongly preferred)</li> <li>Active Series 7 and 24, 27, 63, 79</li> <li>Experience with rules and regulations applicable to broker-dealers</li> <li>Substantial experience managing regulatory exams and responding to regulatory inquiries</li> <li>Excellent writer and communicator</li> <li>Strong attention to—or even obsession with— detail</li> <li>Ability to initiate and drive projects to completion with minimal guidance and with a sense of urgency</li> <li>Strong organization, prioritization and time management skills</li> </ul> <p>Bonus points</p> <ul> <li>Either been a CCO and/or AML compliance officer, or the number two compliance professional, for a FINRA member broker-dealer</li> <li>Juris Doctor degree</li> <li>Familiarity with operations of broker-dealers subject to Rule 15c3-3 of the Securities Exchange Act of 1934</li> <li>Experience with Regulation A and registration exemptions under the Securities Act of 1933</li> </ul> </div> </div> </div> </div>
Landa is an equal opportunity employer.