Compliance Manager – Supervisory

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November 7

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StartEngine

WebsiteLinkedInAll Job Openings

Finance • Fintech • Marketplace

StartEngine is a company focused on equity crowdfunding, which allows startups and early-stage companies to raise capital from a large number of investors, including non-accredited investors. StartEngine provides a platform for companies to list their offerings and connect with potential investors, democratizing the fundraising process by utilizing online crowdfunding methods.

51 - 200 employees

Founded 2014

💸 Finance

💳 Fintech

🏪 Marketplace

📋 Description

• Supervise and monitor registered representatives’ activities, ensuring all communications comply with regulatory standards. • Conduct **regular reviews of flagged emails and call notes** for red-flag keywords and potential compliance issues. • Review, assess, and **file customer complaints** as needed, including those flagged automatically through internal systems. • Oversee and approve **marketing and advertising materials**, ensuring they meet broker-dealer and regulatory guidelines. • Provide feedback and guidance to team members involved in compliance reviews to ensure consistency and accuracy. • Develop and manage AI-driven supervisory agents that automate routine compliance monitoring, while ensuring proper controls, auditability, and human review of escalated issues. • Maintain accurate documentation of supervisory reviews and approvals. • Collaborate with the legal and compliance leadership team to refine internal policies and escalation procedures.

🎯 Requirements

• 2+ years of experience in **broker-dealer compliance** or supervision. • Strong working knowledge of **FINRA** and **SEC** regulations. • Excellent attention to detail and organizational skills, particularly when managing multiple reviews. • Proven ability to interpret compliance policies and provide constructive feedback to staff. • Strong written communication skills for documenting findings and communicating with stakeholders. • **Series 24** license is a plus (not required). • Bachelor’s degree or equivalent experience preferred; **no legal degree required.**

🏖️ Benefits

• 100% covered Medical/Dental/Vision - pick your own plan • Generous Equity package • Unlimited PTO and sick days • Paid WeWork Usage (optional) • 100% Remote • Team Off-sites and Celebration Dinners • Paid Maternity/Paternity leave • 401K program • Flexible hours • Be part of one of the fastest growing parts of the FinTech Industry • A chance to work with a highly profitable and rapidly expanding startup (not VC funded)