Chief Compliance Officer
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.
- Stock Option Plan
- PTO and company holidays
- 401k
- Health Care Plan (Medical, Dental & Vision)
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