Location: New York,NY, USA
**Chief Compliance Officer, Broker Dealer**
New York City / Legal Legal / Full Time **About Yieldstreet** Yieldstreet is building the largest global digital wealth management platform to change the way wealth is created. With an investor-first approach, our investor community builds a diversified portfolio of investments outside of the stock market to generate passive income. Yieldstreet is giving unprecedented access to asset classes such as Fine Art, Real Estate, Marine, Legal & Private Business Credit. Were headquartered in New York City with offices in Miami, Boston, Brazil, Argentina, Malta and Greece.
Join a team of diverse, smart, and friendly people from 8 different countries who speak a total of 17 different languages who are on a mission to make alternative investments more accessible. Our team is comprised of successful entrepreneurs with combined exits of over $1B. We get social with each other during happy hours, exercise classes and team off sites!
**Whats in it for you:** Competitive compensation packages including equity Health, dental & vision coverage with FSA/HSA options Unlimited PTO 401k Match Learning and Development stipend Wellness credit Paid lunch once a week Commuter benefit Life insurance Sabbatical
**About the Role** + Work closely with the leadership team to structure and launch Yieldstreets broker-dealer capability
+ Act as Chief Compliance Officer of the broker dealer
+ Develop and implement broker-dealer related compliance programs and policies
+ Advise on compliance, regulatory, and legal issues across Yieldstreet, including those relating to broker-dealers, investment advisers and others
+ Develop an expertise in Yieldstreets offering vehicles and structures and identify potential synergies with the broker-dealer function
+ Work on disclosure documents, filing requirements and related issues
+ Attend to corporate governance and compliance issues for Yieldstreet
+ Assist with the general legal needs of Yieldstreet and liaise with various teams and stakeholders both internally and externally
+ Juris Doctorate degree
+ 15+ years of combined legal experience in a law firm and in-house
+ Active Series 24 license required
+ Expertise in legal issues relating to financial services firms including broker-dealers, investment advisers, mutual funds, hedge funds and private equity funds
+ Strong expertise with complex compliance matters
+ Strong communication skills, and be exceptionally organized and detail-oriented
+ Ability to multi-task and manage various projects, meet deadlines, excel under pressure, and work independently