Chief Compliance Officer

Firm Overview

Platform Ventures, LLC (“Platform”) is a firm that, through certain asset management subsidiaries, manages and invests in real estate, real estate-related assets, real estate technologies and real estate-focused companies located throughout the United States. Platform’s experienced team seeks to add value to client portfolios by applying its knowledge of the long-term cycles and macro-economic trends that shape the real estate market in order to create price-to-value dislocations.

Position Summary

Platform is seeking a candidate for a full-time, Chief Compliance Officer position. The Chief Compliance Officer will be primarily responsible for developing, maintaining and monitoring regulatory compliance standards for the organization and industry in which Platform operates. A thorough understanding of the firm’s compliance policies and procedures will be fundamental to this role. The Chief Compliance Officer will report to the General Counsel.

Position Responsibilites

  • Conduct annual reviews of the firm’s compliance program in accordance with the Investment Advisers Act of 1940 and the Investment Company Act of 1940, including writing annual reports and preparing presentations demonstrating that the firm is adhering to its policies and verifying that policies meet regulatory requirements
  • Create, revise and implement policies and procedures on an ongoing basis
  • Monitor, design and maintain the investment adviser’s compliance systems
  • Interpret new and existing regulations as mandated, including changes to regulatory requirements and SEC examination focus items
  • Coordinate and respond to external regulatory examinations; manage regulatory relationships
  • Develop and implement compliance training and education as needed
  • Review and approve advertising and marketing materials to ensure compliance with regulatory requirements
  • Review and monitor personal securities trading
  • Prepare and file required regulatory reports (federal and state)
  • Prevent, detect and resolve compliance issues

Qualifications

Education, Training, Registrations or Certifications
  • Bachelor’s degree in Business, Finance or a related field
  • Law degree preferred
Work-related Experience
  • 5+ years SEC regulatory experience
  • Experience with compliance monitoring technology, processes and systems, including processes to make improvements or take corrective action, within a registered advisory firm; knowledge of business and management principles involved in strategic planning, resource allocation, leadership technique, production methods and coordination of people and resources
Knowledge, Skills and Abilities
  • In-depth knowledge and experience of SEC laws, FINRA, industry practice, policies and their application and other regulatory requirements relating to investment advisers, including the Investment Advisers Act of 1940
  • Proactive problem solving, strong analytical skills and critical thinking abilities
  • Ability to identify issues or potential issues; to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems; to combine pieces of information to form general rules or conclusions, considering the implications of all options (benefits, costs and risk factors) and being able to determine the most appropriate solution
  • Strong attention to detail and accuracy
  • Multi-tasking and prioritization of duties
  • Extremely strong written, oral and interpersonal communication skills
  • Strong organizational and time management skills
  • Ability to build and maintain professional relationships with internal team members and other departments
  • Ability to work under deadlines and at a rapid pace
  • Ability to work independently and in a team environment


Qualified candidates may submit a resume and cover letter to: [email protected]