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Chief Compliance Officer

Landa

Landa

Legal
New York, NY, USA
Posted on 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