Full-Time Chief Compliance Officer
Job Description
About RealtyMogul:
RealtyMogul was founded in 2012 with a mission to empower investors to live the lives they want by generating wealth through real estate investing.
On the Platform, investors pool their money together to invest in commercial real estate deals they may not normally have access to on their own including multifamily, office, retail, industrial and ground-up development. And the best part? The real estate companies manage the properties, providing a truly passive real estate investing experience.
Investors can also invest in one of two REITs (Real Estate Investment Trusts), giving them access to a portfolio of professionally managed properties that can potentially pay monthly or quarterly cash distributions.
Since 2012, RealtyMogul members have collectively invested over $1.1 billion into over $7.9 billion of real estate nationwide, including 33,000+ apartment units (as of April 17th, 2024).
What You’ll Do:
- 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.
Who You Are:
- 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
Comp: $175k – $215k per year
How to Apply
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