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Chief Compliance Officer - Consultant 43338-339

Los Angeles, CA

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6-12 months
20 hours per week
Technology company seeks CCO consultant to lead newly formed Broker-Dealer
arm. This is an exciting opportunity for a securities/finance professional
interested in join a growing, entrepreneurial team in tech. The ideal
candidate will have knowledge of JOBS Act securities offerings (Regulation
CF, D and A+), experience doing private placements at a BD, and
entrepreneurial energy.
Implement/enforce written supervisory/surveillance/compliance procedures for
Registered Representatives
Oversee FINRA licensed team members
Review/approve electronic communications/sales literature/advertising/retail
correspondence/marketing materials
Review due diligence/offering documents; review/approve investor
subscription and suitability documents
Test firm’s written supervisory procedures and document gaps
Periodically participate in on-site examinations (branch audits)
Manage/oversee the firms ATS
Series 7, Series 63, and Series 24 required; Series 79 preferred
Prior experience (minimum of 2 years) supervising private placement
transactions and public offerings
Knowledge of FINRA and SEC rules/regulations for broker dealers and of
private placement/capital raising compliance and due diligence
Ability to organize multiple high priority tasks to meet firm deadlines
Understanding or desire to learn about crypto-currencies and developing
trends in the securities industry

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