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Chief Legal Officer/Chief Compliance Officer

Remote

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 $8 billion of real estate nationwide, including 33,000+ apartment units (as of May 31st, 2024).

About Your Role:

We are currently seeking a hands on, in the weeds Chief Legal Officer/Chief Compliance Officer to run legal, regulatory and compliance functions for the firm.   Key functions include drafting legal agreements, providing counsel to the senior management, working to build new lines of business and running all regulatory and compliance functions for the Registered Investment Advisor (RIA) and Broker/Dealer (BD).  

What You’ll Do

  • Take responsibility for company compliance with securities, employment, real estate, and other laws and regulations to minimize risks
  • Be involved in all legal aspects of the company including but not limited to corporate financing, employment matters, and building new lines of business
  • Work with outside counsel to draft, negotiate, review and provide legal insight into equity joint-venture partnership operating agreements and subscription documents
  • Act as Chief Compliance Officer for RM Securities, a registered broker-dealer (BD) and 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
  • Serve as regulatory compliance subject matter expert for the company – Working with technology and product teams to spec out compliant technology to automate compliance functions and support new initiatives
  • Review marketing materials, draft disclosures, and edit copy for compliance with BD and RIA requirements
  • Manage compliance-related forms and filings and compliance calendars
  • Manage all annual exams / communication and coordination with FINRA and the SEC
  • Manage outside counsel
  • Serve as a member of the senior management team

Who You Are:

  • D. degree from a top university law school
  • 15 years’ legal & compliance experience with deep proficiency with BD and RIA securities laws and regulations
  • Hold an active Series 24
  • Excellent analytical, abstract reasoning and organization skills
  • Detail-oriented & organized - ability to handle competing deadlines across the organization
  • Desire to put pen to paper yourself vs. delegate
  • Passionate about making a real impact on a business as an executive

 

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