Compliance Officer

About Linqto:

Linqto is a technology-enabled investment platform allowing accredited investors to identify, evaluate, invest in, and trade securities in the world’s leading unicorns and other private companies. Linqto also provides liquidity for private securities markets. Founders, VCs, and employees can realize early returns and liquidity without waiting for an IPO or trade sale, and companies can stay private longer by providing liquidity on an ongoing basis, not just at exit. The Linqto platform makes the private securities asset class accessible while reducing costs and saving time with the flexibility of trading directly on the company’s mobile app.

Linqto aims to democratize private investing and build a community of like-minded investors, providing both an investment platform and education about private markets and individual companies.

Two common values are team holds are to champion one another's talents to drive thoughtful solutions and to operate using the principles of Cultural Humility. Learning is a lifelong process that requires self-awareness and self-critique, strong opinions loosely held, advocating and partnering with others.

Position:

The Compliance Officer will be responsible for assisting the compliance team to ensure communications, as well as other company actions, are compliant with current regulations.

Responsibilities:

· Educate staff so they are informed of any changes to regulatory guidelines.

· Review communications both internally and externally to ensure they comply with regulations

· Review various business initiatives to ensure regulatory compliance.

· Recommend and implement changes to business policies to reflect regulatory changes.

· Work collaboratively with employees or others contracted by Linqto who are working to ensure Linqto is staying compliant with regulations.

· Monitor operational processes and procedures to ensure the company complies with legal regulations and ethical standards

Required Qualifications:

· FINRA Series 7 and Series 24

· Strong leadership experience/skills

· Experience working in compliance

· Knowledge of industry regulations

· Strong verbal/written communication skills

· Strong understanding of broker/dealer/investment advisor regulatory requirements

· 5 years experience in private equity secondary markets

· 3 years experience as compliance officer

· 3 years experience working to comply with FINRA/SEC regulations

Job Type:

Full-Time, Remote

Compensation:

Pay range: $127k-$175k

Note, salaries will vary and will be based on various factors, such as the candidate’s qualifications, experience, skills, competencies, and proficiency for the role. The base salary is one component of Linqto’s total compensation package for employees. Other rewards and benefits may include equity options, bonus programs, health, vision, dental, and disability insurance, life insurance, 401k, and paid time off.

Disclaimers:

Linqto does not accept unsolicited resumes from search firm recruiters. Fees will not be paid in the event a candidate submitted by a recruiter without an agreement in place is hired; such resumes will be deemed the sole property of Linqto.

Linqto is an equal-opportunity employer. All aspects of employment will be based on merit, competence, performance, and business needs. We do not discriminate based on race, color, religion, marital status, age, national origin, ancestry, physical or mental disability, medical condition, pregnancy, genetic information, gender, sexual orientation, gender identity or expression, veteran status, or any other status protected under applicable law.