Director of Compliance

Real is a fast-growing national real estate brokerage powered by technology. Real is currently operating in all U.S. states, Canada, and the District of Columbia. Founded in 2014, Real is a trailblazer in the Residential Real Estate industry, as we lead the disruption with our cutting-edge technology platform. We are on a mission to revolutionize the home-buying and selling process, making agents' lives better while creating lucrative financial opportunities for them.

For more information, visit https://www.onereal.com/

Location: Remote - US. Candidates MUST be based in the United States to be considered.

Job Summary:

Legal and Compliance is seeking a Director to own the creation, management, and oversight of program initiatives chartered to enhance existing governance and oversight of the compliance management program (CMP) related to the Company’s financial products. The successful candidate will be self-starting, entrepreneurial, and collaborative to excel in a team environment. This individual will have experience in risk management, improving processes or products, and be able to provide effective guidance and strategy on complex compliance challenges through various interactions and engagements to mitigate risk. Strong problem-solving and analytical skills, attention to detail, project management capability, and results-driven are essential to succeeding in this role. This individual should feel comfortable working with quantitative and qualitative information and move past ambiguity to grounded recommendations in an organized and transparent manner.

Duties/Responsibilities:

• Develop and implement strategies to ensure full compliance with fintech-related regulatory requirements.

• Ensure global compliance with regulatory requirements and industry standards (KYC and AML).

• Develop and sponsor tactics to achieve strategic objectives across functional groups or within a business group.

• Establish objectives and develop processes and procedures to ensure efficient and timely workflow.

• Design and oversee company policies that align with federal and state regulations and mitigate compliance risks.

• Stay updated with industry trends and regulatory changes to adapt strategies.

• Respond to and oversee responses to regulatory inquiries and compliance audits.

• Proactively identify potential compliance risks and implement preventive measures to safeguard the company’s operations.

• Work closely with the finance and technology teams to ensure fintech solutions are compliant without compromising innovation.

• Maintain the required compliance systems for the firm while fostering a positive relationship with department employees and management.

• Use data and performance indicators to establish control mechanisms and other improvement initiatives, and ensure quality standards are consistently attained or exceeded.

• Anticipate, identify, and escalate risk scenarios early and propose potential mitigations.

Required Skills/Abilities: 

• 10+ years of experience in regulatory compliance, particularly in the fintech or financial services industry.

• Strong knowledge of relevant regulations, including SEC, FINRA, CFPB, and state laws.

• Exceptional analytical and problem-solving skills, with a keen attention to detail.

• Proven project management capabilities, with a results-driven mindset.

• Ability to work with quantitative and qualitative information and provide grounded recommendations.

Education and Experience:

• Bachelor’s degree in Finance, Business Administration, Law, or a related field. 

• Advanced degree or professional certifications (e.g., CAMS, CRCM) preferred.

Must Have:

• Ability to truly encompass our Company Core Values

  • Work Hard, Be Kind

  • Tech x Humanity

  • “We” are bigger than “me”

Physical Requirements: 

• Sit for long periods of time

• Lift a minimum of 20 pounds

Real is proud to be an equal opportunity workplace employer. We are committed to equal employment opportunities regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity or Veteran status.

#LI-SG1