We’re looking for a Compliance Officer to assist our Legal/Compliance and Deal Operations teams. This person will be instrumental in helping keep Republic’s funding portal and broker dealer at the peak of compliance and providing guidance and attention to the companies launching and conducting their Republic offerings by helping to guide founders and their teams through the legal filing process necessary to offer securities (run a campaign) on Republic. They will also help build, maintain and monitor Republic's internal and external policies to ensure compliance is at the heart of all activities. This position offers a unique chance to get exposure to securities law, anti-money laundering law blockchain technology, Fintech and the NYC/SF tech ecosystem while learning business and legal skills invaluable to any high-growth company. For the right candidate, this position has the potential to develop into a senior position at the company leading the compliance function at one or more regulated entity.

Prior experience at a start-up, fund, or in the tech ecosystem is preferred, but we’re primarily looking for scrappy, motivated fast learners who have worked in a regulated environment before and have relevant background to hit the ground running.

What you'll do:

• Build, maintain and monitor Republic’s compliance policies for its funding portal, including its overlap with Republic’s broker-dealer and investment adviser;
• Assist with the review and filing of paperwork needed by the SEC, FINRA, state regulators, and other regulatory bodies including necessary filings for companies launching campaigns on the Republic platform;
• Work closely with the Director of Deal Operations to help build out and manage policies and procedures necessary to prepare for and conduct campaigns on Republic’s platform efficiently and in the spirit of the law; 
• 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; andApply pragmatism to a complicated regulatory environment.

Our ideal candidate:

• 3+ years of experience (including internship experience)
• JD preferred
• 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