Chief Compliance Officer

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.

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

Benefits

• Stock Option Plan
• PTO and company holidays
• 401k
• Health Care Plan (Medical, Dental & Vision)