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Chief Compliance Officer
over 1 year ago | 1463 views | 24 applications

Chief Compliance Officer

Remote, United States
Per year
$140,000 To $185,000

About the company

Republic is a blockchain-powered investment platform that allows users to easily and securely invest in startups, real estate, crypto and video games. Republic users have access to a vetted pool of investment options — the company is selective about the startups it lists for investments, with only 3 percent of applications being accepted.

Job Summary

Currently we are looking for a Chief Compliance Officer to assist our Legal/Compliance and Deal Operations teams. This person will be instrumental in helping keep Republic’s funding portal and broker dealer at the peak of compliance and providing guidance and attention to the companies launching and conducting their Republic offerings by helping to guide founders and their teams through the legal filing process necessary to offer securities (run a campaign) on Republic. They will also help build, maintain and monitor Republic's internal and external policies to ensure compliance is at the heart of all activities. This position offers a unique chance to get exposure to securities law, anti-money laundering law blockchain technology, Fintech and the NYC/SF tech ecosystem while learning business and legal skills invaluable to any high-growth company Additionally, this is an opportunity to join a high- energy team right as the business line is reaching a tipping point between emerging fund manager and institutional investment advisor

What you'll do Design, implement, and drive adoption of Republic’s compliance procedures and policies for its funding portal, including its overlap with Republic’s broker-dealer and investment adviser; Develops, prepares and submits all reporting compliant with regulatory requirements Reviews current processes and procedures to ensure compliance and makes necessary adjustments Creates a culture of compliance that is predictable, consistent and sustainable for future growth Leads special training, audits, and compliance risk management best practices. Work closely with the Director of Deal Operations to help build out and manage procedures and policies necessary to prepare for and conduct campaigns on Republic’s platform efficiently Directs the development and implementation of correction plans for out of compliance situations. Monitor results for success. Liaise with business teams (including Due Diligence, Business Development, Marketing, Onboarding) to answer questions, identify risk and help mitigate it; Monitor public-facing materials and updates to ensure each campaign is staying compliant; Monitor internal know-your-customer (KYC) and anti-money laundering (AML) programs; Research rules and regulations to implement best practices; and apply pragmatism to a complicated regulatory environment. Stays current with upcoming regulatory changes and incorporates into policies and procedures for on-going compliance. Maintains related regulatory records for accurate information on various procedures and approvals. Maintains quality customer relations with emphasis on service, delivery of quality work product, and support of business needs and requirements. Works with business area leadership to develop corrective actions for the more complex compliance problems. Directs associate management including: performance management, salary planning and administration, training and development, work flow, organization

Our ideal candidate 10+ years compliance experience within registered, institutional investment organizations Experience design and implementing procedures and company policies in compliance with State and Federal regulations Experience leading and managing high performing teams Demonstrated ability working with people in connection with challenging issues Ability to effectively present information and respond to questions from groups of managers, customers, and the general public via effective written and oral communication skills Skilled in researching, interpreting, and disseminating information on compliance regulations and laws FINRA Series 7 and 24 licenses preferred Strong interest in securities law, corporate finance, and/or business Experience working at a startup preferred (fintech or direct to consumer a plus) Excellent written and verbal communication skills Strong attention to detail Comfortable working both independently and in a team environment, and under tight deadlines Organized, hardworking, and fast learning Self-starter who is able to roll up sleeves to get the job done

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