Job Summary
The Chief Compliance Officer will lead the MicroVentures compliance program and is responsible for assuring the Firm is meeting its obligations relative to the Investment Company Act of 1940, Securities Act of 1933, Crowdfunding regulations, other applicable securities federal laws and statutes of the SEC, FINRA, and the states. The ideal candidate will have experience and knowledge in the JOBS Act including Regulation D, Regulation Crowdfunding and Regulation A.
Primary Responsibilities
- Oversee and implement policies and procedures which govern our compliance program
- Monitor and test policies and procedures to ensure compliance with the policies and procedures
- Monitor the performance of the compliance program, perform risk assessments and compliance reviews to ensure compliance policies and procedures are being followed
- Act as liaison with legal and regulatory bodies on compliance-related issues
- Ensure compliance with existing and developing federal and state laws and regulations
- Manage the review and approval of electronic communications, sales literature, advertising, retail correspondence and other marketing materials
- Manage the review of due diligence, offering materials, investor subscriptions and suitability documents
- Oversee FINRA licensed team members
Required Qualifications
- 10+ years of compliance experience
- FINRA Series 7, 63, 24 licenses
- Experience in the private sector within a regulatory/compliance consulting practice, relevant government experience, or working in the securities, financial services, payments, or comparable industry space as a senior compliance officer
- Experience interacting with federal and state regulators, including the SEC and FINRA
- Knowledge of the Private Placement and Crowdfunding business including products, compliance and administration. Knowledge of Federal Securities regulations, e.g., the Investment Company Act of 1940, the Investment Advisers Act of 1940, Securities Exchange Act of 1933, and Regulation CF
- Ability to evaluate federal laws and regulations
- Extensive experience developing, managing, and leading teams
- Ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment
- Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner
- Excellent organizational, written, verbal skills
Perks
- Compensation commensurate with experience
- Annual discretionary bonus
- Healthcare, dental, vision, disability
- 401(k) + match
- Company equity
- A challenging, fast-paced, continually changing environment
- Fully stocked break room