• Design, implement, and drive adoption of Republic’s compliance procedures and policies for its funding portal, including its overlap with Republic’s broker-dealer and investment adviser;

• Develops, prepares and submits all reporting compliant with regulatory requirements

• Reviews current processes and procedures to ensure compliance and makes necessary adjustments

• Creates a culture of compliance that is predictable, consistent and sustainable for future growth

• Leads special training, audits, and compliance risk management best practices.

• Work closely with the Director of Deal Operations to help build out and manage procedures and policies necessary to prepare for and conduct campaigns on Republic’s platform efficiently

• Directs the development and implementation of correction plans for out of compliance situations. Monitor results for success.

• Liaise with business teams (including Due Diligence, Business Development, Marketing, Onboarding) to answer questions, identify risk and help mitigate it;

• Monitor public-facing materials and updates to ensure each campaign is staying compliant;

• Monitor internal know-your-customer (KYC) and anti-money laundering (AML) programs;

• Research rules and regulations to implement best practices; and apply pragmatism to a complicated regulatory environment.

• Stays current with upcoming regulatory changes and incorporates into policies and procedures for on-going compliance.

• Maintains related regulatory records for accurate information on various procedures and approvals.

• Maintains quality customer relations with emphasis on service, delivery of quality work product, and support of business needs and requirements. Works with business area leadership to develop corrective actions for the more complex compliance problems.

• Directs associate management including: performance management, salary planning and administration, training and development, work flow, organization

• 10+ years compliance experience within registered, institutional investment organizations
• Experience design and implementing procedures and company policies in compliance with State and Federal regulations
• Experience leading and managing high performing teams
• Demonstrated ability working with people in connection with challenging issues
• Ability to effectively present information and respond to questions from groups of managers, customers, and the general public via effective written and oral communication skills
• Skilled in researching, interpreting, and disseminating information on compliance regulations and laws
• FINRA Series 7 and 24 licenses preferred
• Strong interest in securities law, corporate finance, and/or business
• Experience working at a startup preferred (fintech or direct to consumer a plus)
• Excellent written and verbal communication skills
• Strong attention to detail
• Comfortable working both independently and in a team environment, and under tight deadlines
• Organized, hardworking, and fast learning
• Self-starter who is able to roll up sleeves to get the job done

The business is accelerating at a rapid pace. Republic is a venture-backed company with real traction across crowdfunding, private investing options and crypto. We recently closed a $150M Series B funding led by Valor Equity Partners. Attracting and retaining the very best people is our #1 priority. That’s why we offer our team best-in-class benefits, including fully-subsidized medical, vision, and dental insurance, a 4% 401(k) match, free access to Talkspace, weekly virtual meditation sessions, a monthly wellness stipend up to $200, quarterly swag bonuses, free lunch for anyone in the office, equipment stipends for eligible remote employees, and more. Seriously–we don’t mess around when it comes to taking care of our own.