Compliance Associate

| Los Angeles

RealtyMogul.com launched in 2013 with one mission: simplify real estate investment by connecting real estate entrepreneurs and investors through cutting-edge technology. We have built a disruptive new business by creating a leading online, crowdfunding, capital markets platform within the traditional real estate industry.Today we are a leading online real estate capital marketplace, offering commercial equity and commercial debt products nationwide, educating our investors, and building a company that will change real estate investing and financing forever.

Compliance Associate

Seeking a hardworking, self-motivated compliance professional to be a crucial part of our team. The role requires an understanding of FINRA broker-dealer and SEC investment advisor compliance functions, rules and regulations, along with general experience in business operations, strategy and process. Other acceptable experience would include internal audit, legal or other control functions of a financial services firm. The position requires close collaboration with the Sr. Director of Compliance, COO, legal team and operations.

What You’ll Do 

  • Assist the Sr. Director with day-to-day compliance administration including but not limited to, operational compliance, onboarding registered persons, updating and maintaining legal/compliance processes, checklists and collectively creating process as needed.
  • Assisting the Sr. Director with reviewing advertising materials, offering due diligence, closing submissions and coordinating with the outside broker-dealer as necessary.
  • Drafting federal and state regulatory filings and compliance documentation
  • Maintain all required books, records, manuals and correspondence
  • Assisting and preparing educational/compliance-related materials
  • Conducting vendor due diligence as needed
  • Assisting with the preparation, organization and maintenance of corporate documents as needed
  • Coordinating and communicating with internal and external parties on various compliance related matters
  • Ad-hoc requests as needed

Who You Are

  • Minimum of 1-3 years of relevant compliance experience or equivalent
  • B.A. educational attainment, or relevant work experience
  • Ability to work closely with other teams including operations, investor relations, legal and accounting
  • Heightened attention to detail – must be meticulous and consistently accurate
  • Highest degree of integrity, with ability to handle sensitive issues with complete discretion and confidentiality
  • Ability to prioritize and manage multiple tasks in an effective and timely manner
  • Self-starter who displays initiative
  • Effective oral and written communication and stakeholder management skills
  • Excellent common sense and judgment and strong interpersonal and organizational skills
  • Adept with desktop applications and MS Office suite
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Technology we use

  • Engineering
  • Sales & Marketing
    • PHPLanguages
    • PythonLanguages
    • DrupalCMS
    • SalesforceCRM

Location

A great collaborative office environment in West LA, just a few miles from the beach.
10780 Santa Monica Blvd, Los Angeles, CA 90025

Perks of working here

401(K)
Casual Dress
Company Equity
Company Outings
Conferences & Training
Daily Meals Provided
Dental
Happy Hours
Health Benefits
Stocked Kitchen
Tuition Reimbursement
Vision
Volunteering Opportunities
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