About the role
The Meridian Platform Securities team builds a broker-dealer for private markets. The compliance officer establishes and manages the firm's regulatory framework. This includes overseeing FINRA and SEC relationships, reviewing materials, and ensuring adherence to compliance policies.
Our summary of the posting; the original is on the AngelList careers page.
What the posting requires
- Required
- CCO
- Written Supervisory Procedures
- Diligence
- Product structures
- FINRA
- Compliance review
- Registration
- Books and records
- Outside counsel
- Preferred
- Fintech
- Spv
- Online BD
- Fund administration
- Syndication
- Offering structures
These tags are our reading of the posting. They can miss something; the original posting is the reference.