Part-Time Compliance Officer (10 hrs per week)
Description: We’re seeking a detail-oriented Part-Time Compliance Officer to join our team and ensure both securities/entity compliance and insurance compliance across our equity raises and operating deals. This is an ongoing role for 10 hours per week at $40/hour — perfect for a compliance professional looking for flexible, remote work. What You’ll Do: 1. Securities & Entity Compliance • Maintain the master compliance calendar. • Prepare and file Form D and Blue Sky notices. • Document exemptions (506(b) vs. 506(c)). • Run accreditation, Bad Actor, and KYC/AML/OFAC checks. • Pre-clear marketing materials (webinars, emails, decks) for compliance with general solicitation and performance advertising rules. • Enforce data privacy and record retention for investor PII. • Maintain accurate subscription and governance records (side letters, consents, cap table changes). 2. Liability & Insurance Compliance • Maintain a live insurance schedule for each entity and property. • Verify lender, LLC, GC, and lease requirements. • Coordinate with brokers to place and renew coverage: GL, property, excess/umbrella, D&O/E&O, cyber, crime/fidelity, workers’ comp, builder’s risk/installation floater, professional liability for A/E, pollution, flood, and wind/hail. • Track COIs and endorsements (additional insured, primary/non-contributory, waiver of subrogation). • Confirm coverage limits and deductibles meet loan agreements, PMAs, GC contracts, and leases. 3. Audits, Reviews & Reporting • Lead January/July portfolio insurance audits with asset management. • Ensure all policies are active and filed correctly, reconcile premiums and lender impounds. • Maintain an incident/claims log with timely carrier notifications and updates. • Conduct regular compliance reviews: • A. Weekly pre-launch checks (including insurance statements in PPMs) • B. Pre-close binder and endorsement checklists • C. Monthly spot audits • D. Quarterly trainings on incident reporting and cyber hygiene What We’re Looking For: • Must be based in the United States. • Proven experience in securities compliance, insurance compliance, or both. • Familiarity with SEC regulations, private placement exemptions, and insurance policy requirements. • Strong organizational skills and attention to detail. • Excellent communication skills and ability to work independently. Hours & Rate: • Part-time: 10 hours per week (ongoing) • Pay: $40-%50 / hour • Fully remote (U.S.-based applicants only) Job Type: Part-time Pay: $40.00 - $50.00 per hour Expected hours: 10 per week Application Question(s): • Have you prepared and filed Form D and Blue Sky notices before? Please describe your experience and the types of offerings you’ve supported. • Have you managed insurance schedules, COI tracking, or policy renewals across multiple entities or properties? Please provide examples. • What experience do you have enforcing data privacy regulations and record retention policies for investor or client information? Work Location: Remote Apply tot his job Apply tot his job