Chief Compliance Officer

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Job description

The Opportunity

Landa is hiring Chief Compliance Officer for a retail broker/dealer in New York City. We are looking for over the top experienced executive with FINRA / BD / ATS background, that is facing a mid-life crisis and understood that they want to move to a startup, wear T-shirts to work, work on Slack via Mac, and help build an exciting product that rebuilds the real estate business from scratch. The CCO will manage the broker/dealer compliance with SEC, FINRA. This opportunity is an ideal role for candidates who are interested and experienced in building and expanding a retail broker/dealer.

Responsibilities

* Lead our broker dealers compliance organization, providing guidance and support to our business partners, senior management, and compliance team.
* Ensure that appropriate regulatory policies, procedures and controls are established, maintained and well-documented, including, but not limited to the rule and regulations regarding anti-money laundering.
* Take ownership of all ongoing compliance review processes and requirements, including annual reviews and meetings, Form BD filings, Forms U4 and U5 for associated persons, review and drafting, maintaining, and updating as necessary policies and procedures reasonably designed to achieve compliance with FINRA and SEC rules, compliance program framework and operations, etc.
* Manage and coordinate SEC and FINRA regulatory examinations, including written responses, and serve as the primary contact for regulators.
* Partner with our legal team to analyze changes to regulatory requirements, proactively handle regulatory developments, and advise on new product launches.
* Continue to develop and mentor our excellent compliance professionals.
* Become an industry thought leader as we grow and expand our business.

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.
* Experience with rules and regulations applicable to broker-dealers.
* Comfort with ambiguitycapable of solving complex problems independently in a fast-paced environment and adapting along the way.
* Demonstrated success as a values-based leader who can build and maintain a culture of empowerment, ownership, and accountability.
* Ability to initiate and drive projects to completion with minimal guidance.
* Strong organization, prioritization and time management skills.
* Substantial experience managing regulatory exams and responding to regulatory inquiries.
* Excellent writer and communicator.
* The ability to roll up your sleeves and get into the details.

Bonus Points If You Have:

* Either been a CCO and/or AML compliance officer, or the number two compliance professional, for a FINRA member broker-dealer.
* Juris Doctor preferred.
* Series 27 or 63 and Series 79 (Investment Banking Representative).
* 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.