Director, Compliance : Real Estate Investment - Realty Mogul (los angeles, california) in Los Angeles, California For Sale
Company Description:
RealtyMogul is an online marketplace for real estate investing, connecting borrowers and sponsors to capital from accredited and institutional investors who can pool money online (Crowd fund) through the Realty Mogul platform and buy shares (Debt and/or Equity) of pre:vetted investment properties (Commercial and/or Residential). We are a leader in the space, and have incredible traction in the market. Not to mention we have been dubbed one of the Top 5 Hottest startups in LA : by builtinla
Job Description:
Director, Compliance
Realty Mogul presents a great opportunity to utilize your experience developing and implementing compliance programs and processes. You will consult and advise throughout the organization, ensuring compliance is prioritized and built into processes from lead generation to funding. Ensure compliance requirements are built into our online real estate investment platform.
We're looking for a skilled securities and real estate compliance professional to assist with broker:dealer, investment adviser and mortgage regulation compliance. You will develop the compliance function across product lines, including debt and equity securities and fund management. Experience with mortgage lending or real estate products is required. Utilizing knowledge of securities, broker:dealer, and investment adviser policies and procedures, this position will oversee specific regulatory reviews as well as targeted process reviews.
Responsibilities:
Partner with senior management to ensure that FINRA, SEC and other regulatory changes are correctly implemented and that required process and/or system reviews are successfully implemented, documented, and tested
Ensure that robust management reporting of compliance findings is in place, detailing both thorough analysis of any areas of concern as well as applicable trend analysis; ensure that issues are escalated as appropriate and all action items are completed / resolved
Serve as regulatory compliance subject matter expert on process and system changes, ensuring that business requirements have been developed in compliance with regulatory requirements
Review marketing materials and edit copy with a view to FINRA requirements and guidance
Handle licensing and registration work for mortgage compliance in multiple states
Manage all compliance:related forms and filings
Work with outside counsel to manage compliance related matters and seek clarity and guidance
Qualifications:
5+ years of compliance experience
Real estate experience a plus
Mortgage licensing experience in multiple states
Experience working on compliance for a broker:dealer including facilitating annual FINRA/SEC site visits, advertising review and general compliance functions
Fund management or RIA compliance experience
Experience working with outside counsel to manage compliance:related matters
Bachelor's Degree
Other Desired Characteristics:
Experience with multiple investment product lines
Experience developing and implementing compliance policies, with an eye to thorough adoption and preparing compliance related filings
Strong understanding of the regulations governing broker:dealers and investment advisory companies
Strong organizational and time management skills, and the ability to multi:task
Ability to work independently, have strong problem solving skills, and be able to work with minimal guidelines
Strong analytical, process, and people skills
Excellent oral and written communication skills
Ability to work proactively and operate accurately and efficiently in a fast:paced environment with variable deadlines
Demonstrated organizational skills and strong attention to detail
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