Compliance Associate
Augment · United States
- Hybrid
- Full-time
- $100,000 / year
- United States
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Job highlights
- Build and scale compliance for private markets.
- Support broker-dealer operations and regulatory filings.
- Review marketing and client-facing communications.
- Conduct internal audits and manage access controls.
- Improve processes for scalable compliance.
About the role
About Augment
Augment is a software infrastructure company building the Robinhood for private markets. We are creating a modern platform that enables investors to access and trade shares in leading pre-IPO companies through a technology-driven experience. We operate at the intersection of software, brokerage, and private markets. Our platform is designed to make private market investing more accessible, efficient, and technology-native. Read more about Augment at Augment Jobs.The Role
As one of Augment's early compliance hires, you will help build and scale the compliance program behind our private markets platform. You will sit at the center of our compliance function, supporting Augment Capital, LLC, our wholly-owned subsidiary, FINRA/SIPC member, and SEC-registered broker-dealer. This includes electronic communications review, customer-facing communications review, regulatory filings, employee supervision, and coordination with internal teams and external partners. This is a hands-on role with real ownership. You will help run the day-to-day compliance program that keeps the business operating cleanly while identifying opportunities to build durable, automated processes as we scale. If you thrive in fast-paced environments, take regulatory rigor seriously, and enjoy bringing structure to complex workflows, we want to meet you.What You Will Support
#1 Supervisory Program & Regulatory Filings
- Day-to-day Execution: Conduct reviews consistent with our written supervisory procedures (WSPs), including employee supervision, outside brokerage accounts, and electronic communications. Triage and escalate customer complaints in line with firm policy. Support onboarding, funding, and post-investment compliance inquiries from internal teams.
- Filings: Draft and submit regulatory filings as needed, including FINRA Gateway submissions and NASAA state filings. Maintain accurate, audit-ready filing records.
#2 Marketing & Client-Facing Communications Review
- Communications Review: Serve as the primary compliance point of contact for the marketing and product teams. Review newsletters, social posts, website updates, and product launch communications for consistency with FINRA Rule 2210 and the SEC Marketing Rule. Provide clear, timely feedback so business partners can move quickly without compromising on standards.
#3 Audits, Access Controls & Coordination
- Internal Audits: Conduct regular audits of FINRA Gateway to confirm filings are submitted on time. Audit internal systems and tools to verify access controls and entitlements are appropriate.
- Partner Coordination: Coordinate documentation, reporting, and procedures across internal teams and external partners (counsel, auditors, regulators) to ensure compliance procedures are followed end-to-end.
Who You'd Fit In With
- Compliance Fluent: Familiarity with FINRA Rule 2210, the SEC Marketing Rule, broker-dealer compliance, KYC/AML, private markets, and SPVs preferred.
- Hyper-organized: You manage multiple moving parts, filing deadlines, and review queues without dropping details.
- A Strong Communicator: Clear, concise written and verbal communication, especially when delivering compliance feedback to business partners.
- Process-Minded: You do not just execute tasks, you improve systems. You spot manual workflows and reach for an automated solution.
- Tech-Comfortable: Comfortable in Slack and Google Workspace, and quick to pick up compliance tools and internal dashboards.
Qualifications
- Series 7 and Series 63 securities licenses.
- 3 to 5 years of experience at a broker-dealer, investment platform, fintech, or SPV administrator.
Bonus Points
- Strong background in marketing and communications review.
- Experience supporting a registered broker-dealer in a growth-stage or fintech environment.
Benefits
- Competitive salary
- Meaningful equity in an early-stage high growth company
- 100% employer-paid medical, dental, and vision coverage for employees
- Remote, or hybrid in New York or Austin
Compensation
The US base salary and equity range for this role depends on level, experience, and demonstrated responsibility. The total compensation package may also include additional components or benefits depending on the specific role.Key skills/competency
Compliance, Regulatory Filings, Communications Review, FINRA Rule 2210, SEC Marketing Rule, Broker-Dealer Compliance, KYC/AML, Private Markets, Audit, Process ImprovementSkills & topics
- Compliance Associate
- Compliance
- Regulatory Filings
- FINRA
- SEC
- Broker-Dealer
- Fintech
- Private Markets
- KYC
- AML
- Audit
- Communications Review
- Series 7
- Series 63
- Securities Licenses
How to get hired
- Customize your resume: Highlight your experience with broker-dealer compliance, regulatory filings, and communications review, using keywords from the job description like FINRA Rule 2210 and SEC Marketing Rule.
- Showcase your organizational skills: Emphasize your ability to manage multiple tasks, deadlines, and review queues effectively in your application.
- Demonstrate process improvement: Provide examples of how you've identified and automated manual workflows to improve efficiency and compliance.
- Prepare for licensing questions: Be ready to discuss your Series 7 and Series 63 licenses and how you've applied that knowledge in previous roles.
- Express enthusiasm for fintech: Convey your passion for the intersection of software, brokerage, and private markets.
Technical preparation
Review FINRA Rule 2210 and SEC Marketing Rule.,Understand broker-dealer compliance requirements.,Familiarize yourself with KYC/AML procedures.,Practice using compliance tools and dashboards.
Behavioral questions
Describe managing multiple compliance tasks.,How do you communicate compliance feedback?,Give an example of improving a process.,How do you stay organized with deadlines?
Frequently asked questions
- What are the key responsibilities for a Compliance Associate at Augment?
- As a Compliance Associate at Augment, you will support the supervisory program and regulatory filings, conduct reviews of employee and customer-facing communications, perform internal audits, manage access controls, and coordinate with internal teams and external partners. You'll play a crucial role in scaling the compliance program for Augment Capital, LLC.
- What qualifications are required for the Compliance Associate role at Augment?
- To be considered for the Compliance Associate position at Augment, you must possess Series 7 and Series 63 securities licenses. Additionally, you need 3 to 5 years of experience in a relevant field such as a broker-dealer, investment platform, fintech, or SPV administrator.
- What makes Augment a unique place to work for a Compliance Associate?
- Augment offers a unique opportunity to be an early compliance hire at a fast-growing fintech company operating at the intersection of software, brokerage, and private markets. You'll have significant ownership, contribute to building scalable processes, and work with a team focused on making private market investing more accessible.
- What kind of communication review experience is Augment looking for?
- Augment is looking for a Compliance Associate who can serve as the primary point of contact for marketing and product teams, reviewing content like newsletters, social posts, and website updates for compliance with FINRA Rule 2210 and the SEC Marketing Rule. Strong, clear, and timely feedback is essential.
- How does Augment support employee development and benefits for a Compliance Associate?
- Augment offers a competitive salary and meaningful equity in an early-stage, high-growth company. They also provide 100% employer-paid medical, dental, and vision coverage. The role can be remote or hybrid in New York or Austin.
- What is the expected experience level for this Compliance Associate position?
- The role requires 3 to 5 years of experience in the financial services industry, specifically within a broker-dealer, investment platform, fintech, or SPV administrator. Prior experience with marketing and communications review is a bonus.
- Can a Compliance Associate at Augment work remotely?
- Yes, Augment offers a remote work arrangement for the Compliance Associate role. Alternatively, a hybrid option is available for those located in New York or Austin.