Tired of Manually Applying to Jobs?

Let JobCopilot do it for you!

Set your preferences and let your AI copilot handle the job search while you sleep.

Applies for jobs that actually match your skills

Tailors your resume and cover letter automatically

Works 24/7—so you don't have to

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.

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)

Compliance Manager (Supervisory)

Meet JobCopilot: Your Personal AI Job Hunter