General Counsel & CCO

At Otis, we turn aficionados into shareholders. We believe in transparency, liquidity, and trusting your own gut. We're democratizing an otherwise closed market and making alternative assets accessible. Invest in the things that you value, and whose value you understand, for as little as $10 and build a portfolio better suited to a museum than a stock ticker.

Our Culture

We have a saying here: “we design our culture like we design the product.” Culture is the most important foundation for a successful company. A great culture provides the context for people to deliver their best work. Our goal is to find the fastest way to win. Our culture is designed to allow us to achieve this (read more).

Role

Otis is looking for a bright and creative General Counsel/Chief Compliance Officer to handle both legal and compliance functions related to broker dealer activities. Ideal candidate should have experience in similar roles, preferably at another FinTech startup, and will have all applicable licenses, as displayed below.

What You'll Do

- Provide creative and sound advice related to legal and compliance matters- Manage the broker-dealer compliance function in terms of supervising, implementing policies/procedures, maintaining records, & reviewing accounts and advertising

- Oversee regulatory filings, audits, and contracts- Lead conversations with regulators (i.e. SEC and FINRA)

- Assist with the Form NMA process

- As a startup, we expect the GC/CCO to pitch in with a variety of other legal matters as they arise, including employment law, contract reviews, copyright matters, etc

Who You Are

- JD with a license to practice in NYS

- Experience as a designated principal within a broker dealer

- Licensed with Series 7, 63/66, 24

- Deep knowledge of federal securities laws and SEC and FINRA regulations - experience with Regulation A+ ideal

- Creative legal mind - we are building something new and welcome big thinkers

- Able to communicate positively, effectively, and efficiently with members of various internal teams, outside counsel, and regulators

- Able to demonstrate sound judgment

- Able to work under pressure, manage multiple projects at once, and meet tight deadlines

- Excellent communicator

Who You'll Work With

- Michael Karnjanaprakorn (CEO) who was formerly the CEO/founder of Skillshare

- Tye Wang (Head of Engineering) who was a Lead Architect at Venmo

Transparent Compensation

We don’t believe that better negotiators necessarily make better employees. Every employee can see their current salary, the salary levels for their team, and what each level’s salary increase would amount to in the future. This allows us to offer equal pay to all employees.

Diversity & Inclusion

We are committed to building a culture where diverse thoughts are both welcomed and rewarded.