Due Diligence Team

Los Angeles, CA
Compliance
Full-time

Why merely back a company when you could own a piece of it?

StartEngine is a premier equity crowdfunding platform, connecting everyday people with innovative companies. It's like crowdfunding, but instead of getting a t-shirt for your dollar, you're able to buy equity in the companies that you support. StartEngine is revolutionizing the startup business model by helping individuals invest in private companies on a public platform, thereby helping entrepreneurs achieve their dreams.
 
StartEngine's Due Diligence Team is responsible for reviewing offerings before they can go live on the platform. The team ensures completeness, compliance, and accuracy across all campaigns. The Due Diligence Team works directly under the Chief Compliance Officer.

We are seeking organized, detailed, and excitable individuals to manage our growing compliance responsibilities. Upon entering this role, you will become an expert at a brand new industry, providing applicable experience in law, finance, marketing, and various business fields.

Responsibilities

    • Manage the due-diligence process for all companies raising capital on the platform (both Title III and Title IV companies)
    • Review campaign offering pre-launch materials and legal documents to confirm accuracy and thoroughness
    • Conduct weekly and monthly review of current StartEngine offerings to confirm compliance
    • Conduct daily, weekly, and monthly reviews of investor comments to ensure they follow our terms and conditions
    • Support Chief Compliance officer with ongoing compliance matters including creating and enforcing policies and producers
    • Build escalation of compliance matters and rule violations, and organize internal reports of compliance and regulatory issues
    • Coordinate with Account Services team to develop and implement procedures pertinent to the effective and efficient operation of the Account Services Department

General Requirements

    • Superb organizational and tracking skills
    • Great attention to detail
    • Ability deliver results while managing multiple projects and working in a fast-paced environment
    • Levelheaded problem solver with a professional, service-oriented attitude
    • Team player who also excels as an individual contributor
    • Adaptable, dependable, and responsible
    • Project management experience or demonstrated skills
    • Demonstrated ability to push projects over the finish line
    • Outstanding verbal and written communication skills
    • Ability to follow communication guidelines with respect to SEC and FINRA regulations

Overview: We seek smart, hard-working, and extremely diligent individuals who are prepared to hit the ground running. This is a rare opportunity to enter a brand new industry and support the growth of that industry's leading brand. Candidates will work directly with StartEngine's Officers and Directors, learning, hands on, what it takes to build a successful company. StartEngine provides mentorship programs and facilitates learning opportunities. We want employees to grow into their greatest potential. Salary includes 100% paid health benefits, unlimited vacation, parking, and stock options.