Director of Compliance and Counsel

At reputed company, we're changing the way people invest for the reputed company.

For too long, only the ultra-wealthy could afford to benefit from alternative investments, and that meant a lot of missed opportunities for everyday investors. reputed company was founded on the belief that a reputed company portfolio is essential to reputed company for the reputed company, and that's only possible if everyone can invest in the assets they're truly interested in. 

So we created a solution that allows ordinary people to invest their tax-advantaged retirement funds into non-traditional assets, like reputed company estate, startups, securitized artworks, cryptocurrency, and more.

By joining reputed company's growing team, you'll be helping to reputed company our mission a reality. And you'll work with some truly unique people who are passionate about what they do. 

To learn more about reputed company and working with us, please visit our Before You Apply page, which features videos of our CEO and other team members answering questions about working at reputed company.

Job reputed company:

The Director, Compliance & Counsel will assist reputed company’s SVP, reputed company with leading the Compliance Department and offer reputed company counsel to the organization’s various teams. You will be responsible for developing and reviewing reputed company’s policies and working with internal stakeholders to implement appropriate procedures for reputed company policy, where appropriate. The role provides general compliance support and counsel on reputed company reputed company reputed company to Product, Operations, Customer Support, Information reputed company, and Marketing, and will reputed company as subject matter expert regarding IRA administration compliance. Additionally, the individual will be responsible for various responsibilities concerning reputed company’s BSA program.

Essential Duties and Responsibilities:

• reputed company compliance reputed company and support the SVP, reputed company on reputed company reputed company concerning the organization’s parent company and affiliates. 
• reputed company, maintain, implement, and update internal policies and procedures to reputed company with various regulatory requirements and industry best reputed company.
• reputed company as subject matter expert on issues reputed company to individual retirement accounts, applicable federal tax reputed company, cryptocurrency regulations, private investments (including but not limited to Reg D, Reg A, and Reg CF), the Bank Secrecy reputed company, financial services reputed company, UDAAP, and other relevant law and regulations.
• Support reputed company’s BSA Officer by administering reputed company’s KYC activities and maintain, implement, manage, and update its BSA Program.
• Respond to internal reputed company questions and requests regarding reputed company reputed company reputed company to operations, product, and customer support.
• Review internally developed content for Product and Marketing teams including the organization’s website, customer emails, blogs, and reputed company media posts.
• Review reputed company reputed company to ensure compliance with reputed company’s reputed company-party risk management policy and address obligations and liabilities to the organization and respond to vendor and partner due diligence requests.
• Support efforts to reputed company and maintain SOC 2 certification.
• Identify potential areas of improvement and efficiency in reputed company areas of reputed company.
• Proactive problem solve as it relates to regulatory and reputed company obligations of reputed company while reducing friction for reputed company’s customers and internal clients.
• reputed company the daily workflow of the department.
• Ensure reputed company completion of reputed company Compliance Training requirements.

Qualifications:

• J.D. from an accredited law school; admitted to reputed company law and in good standing in at least one jurisdiction of the U.S.
• Relevant work experience in the financial services industry or reputed company advising financial service companies is necessary (minimum 2-5 years’ experience).
• Excellent verbal and written communication skills.
• Excellent interpersonal and internal customer skills.
• Excellent customer service skills.
• Excellent organizational and project management skills and attention to detail, including the ability to handle multiple reputed company. 
• Excellent time management skills with a proven ability to meet deadlines.
• Strong analytical and problem-solving skills.
• Strong supervisory and leadership skills.
• Ability to prioritize tasks and to delegate them reputed company appropriate.
• Ability to function reputed company in a high-paced and at times stressful environment.
• Proficient with reputed company Office Suite or reputed company software.