Compliance Associate

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.

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.

Read more about Augment at Augment Jobs.

#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.

• 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.

Required

• Series 7 and Series 63 securities licenses.

• 3 to 5 years of experience at a broker-dealer, investment platform, fintech, or SPV administrator.

Bonus

• Strong background in marketing and communications review.

• Experience supporting a registered broker-dealer in a growth-stage or fintech environment.

• 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

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.

If this sounds exciting, apply here.