The Compliance Manager will supervise compliance functions, ensure adherence to FINRA and SEC rules, and manage communication monitoring and marketing approvals.
About StartEngine
StartEngine is the FinTech powerhouse driving the future of fundraising and alternative investing. StartEngine was founded by Howard Marks, the co-founder of Activision (now valued at over $75B), with the goal of helping entrepreneurs achieve their dreams by removing funding barriers. Howard partnered with co-founder Ron Miller, a veteran entrepreneur and early advocate of equity crowdfunding, to build a platform that democratizes access to capital. In 2020, StartEngine welcomed Shark Tank judge and serial entrepreneur Kevin O’Leary (aka Mr. Wonderful) as Strategic Advisor and Investor. Since its inception, StartEngine has helped over 550 companies raise more than $1.5B from retail investors, with investments starting at as little as $100.
Why merely back a company when you can own a piece of it?
We’re seeking a Compliance Manager to oversee day-to-day broker-dealer compliance functions, with a focus on supervisory responsibilities. This role does not involve due diligence or crowdfunding/private offering review. Instead, it centers on ensuring adherence to FINRA and SEC regulations across communication monitoring, marketing approvals, and complaint handling.
Key Responsibilities
- 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.
- 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.
Perks & 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)
Top Skills
Finra
Sec
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