Broker-Dealer Compliance Officer (Consultant) at StartEngine in Los Angeles, United States

Responsibilities include:

  • Implementing and enforcing written supervisory, surveillance and compliance procedures for Registered Representatives
  • Overseeing FINRA licensed team members
  • Reviewing and approving electronic communications, sales literature, advertising, retail correspondence and other marketing materials; reviewing due diligence and offering documents, reviewing and approving investor subscription and suitability documents
  • Testing the firm’s written supervisory procedures and documenting gaps
  • Periodically participating in on-site examinations (branch audits); and, other duties as assigned
Position Requirements:
  • Required licenses or certifications: Series 63, 7, 24 (minimum); Series 79 (preferred)
  • Knowledge of FINRA and SEC rules and regulations for broker dealers
  • Knowledge of private placement and capital raising compliance and private placement due diligence
  • Ability to organize multiple high priority tasks to meet firm deadlines
  • Understanding or desire to learn about crypto-currencies and developing trends in the securities industry
  • Experience with private placement transactions and public offerings
  • Must have 2-4 years of experience supervising private placements
Overview: We are seeking seeking smart, capable individuals prepared to hit the ground running. This is a rare opportunity to be a part of a growing company, in a new industry. Candidates will work directly with StartEngine founders and learn, hands on, what it takes to build a successful company. StartEngine also offers lucrative stock options - we want our team to help us grow the company and share in the upside. Compensation includes 100% paid health benefits, unlimited vacation, paid parking and stock options.
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