CrowdStreet is searching for a compliance professional to join our team as Compliance Manager, reporting to our General Counsel & Chief Compliance Officer. The Compliance Manager will work with the CCO and external compliance vendor to develop, implement, and manage our broker-dealer and investment adviser compliance programs. The Compliance Manager will be responsible for helping to ensure the CrowdStreet Marketplace, CrowdStreet investment products, and related wealth management services, business operations, and procedures comply with FINRA, SEC and other laws and regulations.
The Compliance Manager will collaborate with colleagues across the organization including managing cross functional projects and teams to help create and implement new processes, improve operational efficiency, and develop new investment and service offerings. A key aspect of this role will be to manage the review of CrowdStreet marketing materials to insure compliance with FINRA Rule 2210 and advise internal team members regarding communications with the public.
This position can be located in Portland, OR, Austin, TX or Remote (US Only).
- Implementing and maintaining controls to monitor the effectiveness of the compliance program
- Working with our external compliance vendors
- Monitoring the firm's compliance with SEC, FINRA, and other applicable regulations
- Identifying and responding to ongoing regulatory changes
- Developing and implementing policies and procedures
- Coordinating responses to regulatory inquiries and customer complaints
- Reviewing marketing materials subject to FINRA rules
- Managing FINRA and SEC filings
- Maintaining books and records
- Training internal resources on applicable procedures and relevant policies
- Bachelor’s level degree
- Series 7 and 24
- 5+ years of relevant work experience at a FINRA-licensed broker-dealer, including managing compliance programs
- Demonstrated ability to work with employees at all levels across the company
- Excellent written and verbal communication skills
- Strong organizational and project management skills
Nice to Haves
- Experience with securities offerings pursuant to Regulation 506(c) or Regulation CF
- Experience in commercial real estate, private equity, or venture capital
- FinTech experience
- Project management skills and expertise
How to apply:
Please submit your resume online with a cover letter stating:
1) Why you’re interested in working for CrowdStreet, and
2) A brief summary of how you meet each of our qualifications. The best way to do this is to copy/paste the requirements bullets and put a brief answer after each summarizing your relevant experience.
Working at CrowdStreet
Over the past seven years CrowdStreet has established itself as the leading online marketplace for institutional-quality commercial real estate investment. Our customer, the individual investor, joins the CrowdStreet community to learn about and invest directly in private real estate offerings. Our mission is to deliver the best online real estate investing experience and make it easy for individual investors to diversify their portfolios.
Since launching its marketplace in 2014 CrowdStreet has enabled investors to select and directly invest into specific commercial real estate offerings on the marketplace. Then in early 2019 CrowdStreet launched its own branded investment products and services which consisted of configured blended portfolios, strategic funds, and separately managed accounts to make it easier for investors (clients) to participate in the offerings. We also launched our own Registered Investment Advisor (CrowdStreet Advisors) under which these products and services reside.
Over the years, CrowdStreet has been recognized by top industry publications as a leader in the commercial real estate space. Named by The Oregonian as a 2020 Top Places to Work, CrowdStreet is also a Forbes Top 500 Best Startup Employer, part of the Deloitte Technology Fast 500, the 2020 Oregon Technology Awards Accelerate Company of the Year, and was ranked #5 for "Fastest Growing Private Companies in Oregon & SW Washington" by the Portland Business Journal.
We are proud to be an early adopter of ‘Work where you work best’ and are now enthusiastically adding to our team throughout the US.
At CrowdStreet, we believe inclusion and diversity are critical in achieving our goals. We understand that differences in age, race, gender, nationality, sexual orientation, physical ability, thinking style and background bring a breadth of knowledge that makes us collectively smarter and better able to compete. We are committed to recruiting, developing, and advancing a diverse staff and engaging in the hard work that makes that possible.