Compliance Associate

As one of Augment’s first full-time compliance hires, you’ll work directly with our Chief Compliance Officer and Chief Legal Officer to ensure our products and operations meet the highest regulatory standards. You’ll be hands-on across all aspects of compliance: reviewing transactions, monitoring communications, testing controls, and helping us build a scalable compliance program as we grow. We’re looking for someone who is detail-obsessed, proactive, and excited to build from the ground up in a fast-moving environment.

You will:

• Work directly with the Chief Compliance Officer and Chief Legal Officer to execute and enhance Augment’s compliance program.
• Review and approve investment marketing materials, due diligence content, and investor communications for regulatory adherence.
• Support compliance oversight for transactions in private company securities and pre-IPO offerings conducted through Augment’s marketplace.
• Conduct trade surveillance and monitor communications to ensure compliance with FINRA and SEC requirements.
• Assist with testing, documentation, and updates to compliance policies and procedures.
• Support onboarding and KYC/AML verification and investor onboarding processes.
• Manage regulatory inquiries and support investment adviser registration and compliance requirements.
• Help prepare for audits, regulatory filings, and exams.
• Take ownership of compliance-related projects and propose improvements where needed.

You'd fit in well if you:

• Have a strong attention to detail and thrive on accuracy.
• Are comfortable in fast-paced, early-stage environments where responsibilities shift quickly.
• Take initiative and can work independently while collaborating cross-functionally.
• Are excited to be part of a team building the financial rails for private markets.
• Care about doing things the right way, balancing compliance rigor with business needs.
• Are excited to shape compliance standards for an exchange enabling investors to access private, pre-IPO companies.

Skills we love:

• Knowledge of securities regulations including Regulation D, Regulation A, broker-dealer requirements, and qualified purchaser/accredited investor verification.
• Experience with marketing material review and approval, supervision of communications, policy and procedure development, managing regulatory inquiries and audits, and investment adviser registration and compliance.
• Strong organizational, written, and verbal communication skills.
• Familiarity with compliance monitoring tools and regulatory filings.

Bonus

• Prior experience with fintech startups or Alternative Trading Systems
• Fund operations compliance, including portfolio company monitoring, valuation policy compliance, and oversight of management fee and carried interest calculations.

Licenses

• FINRA Series 7 and 63
• Series 24 and/or Series 14 (or willingness to get licensed within 60 days of starting)

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 at one of our offices in Austin, San Francisco, or NYC

The US base salary range for this full-time position is between $80k - $120k annually.

The pay offered for this position may vary based on several individual factors, including job-related knowledge, skills, and experience. The total compensation package may also include additional components/benefits depending on the specific role. This information will be shared if an employment offer is extended.