Chief Compliance Office

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 exciting product that rebuild 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.

What We’re Looking For:

• 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.
• Comfort with ambiguity—capable 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.
• 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.