As one of Augment’s first full-time compliance hires, you’ll work directly with our Chief Compliance 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.
Read more about Augment at Augment Jobs.
🧑💻 You will:
- Work directly with the Chief Compliance 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 processes for investors.
- 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.