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Director, Compliance

Realto

Overland Park, KS, US
  • Job Type: Full-Time
  • Function: Legal
  • Industry: Technology
  • Post Date: 06/21/2022
  • Website: realto.ai
  • Company Address: , Kansas City, Missouri

About Realto

Realto A marketplace designed to transform and democratize Real Estate and Alternative securities by providing investors of all types with liquidity and transparency.

Job Description

The Director, Compliance will be an efficiency-minded, technology-savvy professional who will lead and oversee the firm's strategy, programs, policies, and practices for regulatory compliance and risk mitigation for its subsidiary broker-dealer/ATS.


Creating a secondary market for the U.S. real estate market has never been done before . . . but Realto's going to do it. Do you want to hop aboard our rocket ship and revolutionize a $12 TRILLION market, or do you want to watch from the sidelines? (Hint: There's only one right answer, so get the heck over here!)


BENEFITS (WHY WE'RE AMAZING)

Wonderful Paradoxes. We have a special culture that embraces being a "wonderful paradox." Each of us is maniacally driven, but personally laid back. Hyper rational but kind-hearted. Smart but humble. Self starters but highly collaborative. Strategy-minded but execution-oriented.

Dolla' Dolla' Billz Y'all. We have an entirely unique approach to salary that makes it ridiculously competitive, fair, and equitable. You'll absolutely plotz when you hear about it.

A Little Walkin' Around Money. All employees are eligible for our discretionary bonus program, which is distinctive because it is based on us hitting certain milestones and is paid throughout the year as we hit them.

Retire to Costa Rica. How do you generate REAL wealth? Equity. And every Realto employee receives stock options when they join as well as every year of employment starting on their 2 1/2-year anniversaries.

Be Responsible Like Your Parents Always Wanted. We don't have a 401(k) yet, but at some point we will, and when we do, you'll be able to save like mad and retire to Costa Rica TWICE.

Try Out Costa Rica Before You Retire There. We have an unprescribed vacation policy, which means there is no set limit of vacation days, and as long as you're killing it at your job and your manager is fine with it, you can take as much vacation as you want. Guilt free!

O Canada! Currently, we cover 100% of employees' medical, dental, and vision premiums in our healthcare plan (although that policy is always subject to change given how bonkers healthcare rates can get). Want a set of gold-plated grillz? It's on us! (Well, as long as our insurance covers it, which it probably doesn't.)


DETAILS (WHY THE JOB IS AMAZING)

Oversee the day-to-day compliance activities of the BD and ATS, ensuring 100% compliance with all applicable rules & regulations.

  • Analyze current policies & procedures to identify compliance gaps.
  • Design, implement. and periodically update controls to monitor and enforce compliance policies.
  • File high-quality regulatory reports in a timely manner.

 

Provide proactive, real-time, informed, affordable, business-advancing compliance advice.

  • Participate in corporate strategy meetings to ensure that the company’s strategy and tactics are compliant with all applicable rules & regulations.
  • Alongside the President, take the lead on all conversations with regulatory agencies.
  • Research and advise on compliance for new areas of business that the company is considering entering. 

 

Build a hyper-efficient compliance function through better processes and technology.

  • Analyze compliance procedures to identify areas for efficiency improvement.
  • Work with the COO to reengineer inefficient processes to create innovative, streamlined compliance and supervisory procedures ripe for automation.
  • Work with the COO to further streamline processes by applying third-party and proprietary software and automation.

REQUIREMENTS & PREFERENCES (WHY YOU'RE AMAZING)

  • Active Series 24 license required.
  • 10 years of related experience (including with an SEC-registered broker-dealer, within the SEC or FINRA, or as an associate of a law firm specializing in broker-dealers).
  • Can-do approach; your answers all begin with either a "Yes, and here's how" or a "No . . . however . . ."
  • Love the uncertainty, volatility, and intellectual acrobatics that are intrinsic to startups.
  • Intellectually curious -- we're dealing with some heady %$&! here.
  • Tech savvy with a technology-first mindset.
  • Knowledge of sophisticated investment offerings, including alternatives and other emerging products.
  • Knowledge of the real estate/real estate securities market a big plus.
  • You're a wonderful paradox.