Remote Chief Compliance Officer

Summary

Join RealtyMogul as Chief Compliance Officer and lead the company's regulatory compliance efforts, ensuring FINRA, SEC, and other requirements are met.

Requirements

• 8+ years of compliance experience; proficient with BD and RIA securities laws and regulations
• Hold an active Series 24
• Highly ethical and value compliance and confidentiality
• Pro-active, positive and driven. You like to take ownership
• Willing to do what it takes to get the job done
• Detail-oriented and organized
• Enjoy fast-paced environments
• Excellent communication skills - both oral and written
• You want to make a real impact on a business as an executive
• Real estate and fund management experience a plus
• Licensed attorney a plus

Responsibilities

• Serve as Chief Compliance officer for RM Securities, a registered broker-dealer (BD)
• Serve as Chief Compliance officer for RM Adviser, a registered investment advisor (RIA)
• Partner with senior management to ensure that FINRA, SEC and other regulatory requirements are properly addressed and that required BD or RIA processes are successfully implemented, documented, and tested
• Work with technology and product teams to spec out compliant technology to automate compliance functions and support new initiatives
• Serve as regulatory compliance subject matter expert for the company, working with outside counsel as needed
• Review marketing materials, draft disclosures, and edit copy for compliance with BD and RIA requirements
• Manage compliance-related forms and filings
• Advise on all compliance aspects of the company, including assessing and advising on current and future business structures and legal entities
• Manage all annual exams / communication and coordination with FINRA and the SEC