Chief Compliance Officer

August 7

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💰 Series B on 2019-06

Description

• 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. • Work with outside counsel to manage legal needs for two public, non-traded REITs managed by the RIA including 1-A/As, 253G2s, 1-Us and 1-SAs. • Advise on legal 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.

Requirements

• 8+ years of compliance experience; proficient with BD and RIA securities laws and regulations. • Licensed attorney. • 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. • Active Series 24 preferred. • Real estate and fund management experience a plus.