Compliance Manager, StartEngine
Supervisory
+ Equity
Online equity crowdfunding platform
Be an early applicant
Online equity crowdfunding platform
101-200 employees
Be an early applicant
+ Equity
101-200 employees
Company mission
To help entrepreneurs achieve their dreams.
Role
Who you are
- 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
What the job involves
- 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
- 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
Our take
StartEngine – the largest equity crowdfunding platform in the US – allows everyday Americans to invest and own shares in startups and early-stage companies in a landscape that was previously dominated by experienced investors and venture capitalists.
Startups can craft investment pitches onto a webpage and raise capital from thousands of investors online. Investors, in turn, can browse through projects, diving deeper into campaigns and view necessary information like investor snapshots and financial documents laid out in a simple format. Unlike legacy crowdfunding platforms like GoFundMe and Kickstarter - which are typically used for one-off creative projects or financial assistance - StartEngine's pitches are thoroughly vetted and supported by Account Managers to help with legal and financial technicalities.
Although the largest, StartEngine faces stiff competition from platforms like Wefunder and Nextseed (who, although smaller in terms of deal volume, have a higher funding success rate at 93%). However, the company has passed 1 million registered users and saw big success in 2024, setting it up to see even further growth.
Steph
Company Specialist at Welcome to the Jungle
Insights
-10% employee growth in 12 months
Company
Funding (last 2 of 10 rounds)
May 2023
$16.5m
LATE VC
Dec 2021
$50m
LATE VC
Total funding: $117.1m
Company benefits
- Tech stipend
- 401k
- Company offsites
- 100% health benefits
- Monthly happy hours
- Unlimited vacation
- Equity package
- Entirely remote
- Paid Parental Leave
Company HQ
Melrose, Los Angeles, CA
Leadership
Howard Marks
(Co-Founder & CEO)Having studied Engineering at the University of Michigan, Howard co-founded Activision in 1991, working as Chairman for over 7 years before founding Acclaim Games. He left this CEO position after 5 years to co-found StartEngine in November 2011.
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