Job details

Chief Compliance Officer

RealtyMogul is seeking a Chief Compliance Officer to oversee compliance for their broker-dealer and investment advisor. The ideal candidate will have over 8 years of experience in compliance and a strong understanding of BD and RIA regulations.

Skills

Compliance expertise
Knowledge of BD and RIA regulations
Regulatory relationship management
Detail-oriented

Responsibilities

Serve as Chief Compliance Officer for RM Securities and RM Adviser
Ensure compliance with FINRA and SEC regulations
Collaborate with teams to automate compliance functions
Review marketing materials for compliance
Manage compliance-related forms and filings
Advise on business structures and legal entities
Coordination with FINRA and SEC during annual exams

Education

Degree in Law or related field
Active Series 24 license

Benefits

Salary range of $175k - $215k
Opportunity to impact business decisions
Work in a fast-paced environment

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CEO of RealtyMogul

Jilliene Helman

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By RealtyMogul

RealtyMogul.com founders Jilliene Helman and Justin Hughes seized the opportunity to build a disruptive new business by creating a leading online, crowdfunding, capital markets platform within the traditional real estate industry. We Are Fundamen...

2 jobs

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FUNDING

Growth

DEPARTMENTS

Legal, Compliance

SENIORITY LEVEL REQUIREMENT

Senior

INDUSTRY

Real Estate

TEAM SIZE