As Augment’s Chief Compliance Officer, you will build and own the compliance function for a technology-first private markets platform, helping shape how regulated financial infrastructure is designed, shipped, and scaled.
We are looking for a senior compliance leader who is proactive rather than reactive, product-aware, and commercially grounded, with experience supporting technology companies building consumer-facing products in regulated environments.
This is a hands-on leadership role with direct responsibility across our registered broker-dealer, Alternative Trading System (ATS), and registered investment adviser (RIA), all operating at the center of private markets and alternative assets.
Read more about Augment at Augment Jobs.
🧑💻 You will…
#1 Build & Own the Compliance Program
- Design, implement, and own end-to-end compliance programs for our:
- SEC-registered broker-dealer and FINRA member firm
- Alternative Trading System
- SEC-registered investment adviser
- Establish and maintain written supervisory procedures (WSPs), compliance manuals, and policies tailored to operating in the private markets.
- Develop risk-based compliance frameworks that scale with growth, new products, and increased transaction volume.
- Conduct annual compliance reviews and ongoing risk assessments.
#2 Private Markets & Alternative Assets Oversight
- Oversee compliance related to private securities offerings, secondary transactions, and unregistered funds.
- Advise on regulatory requirements impacting:
- Private placements and secondary liquidity
- Accredited and institutional investors
- Conflicts of interest, disclosures, and fiduciary obligations
- Partner with product and business teams to launch compliant private-market trading and investment solutions.
#3 Regulatory & Exam Management
- Serve as the designated Chief Compliance Officer under SEC and FINRA rules.