Compliance Manager (Series 24)

Senior Compliance Analyst (Series 24) Location: Palo Alto, CA. Hybrid position Remote available to: NY, FL, TN, IL, CO, UT, CA The base salary: $125,000–$150,000, plus equity. The final offer will depend on the candidate’s experience, qualifications, and demonstrated subject-matter expertise.

The employee stock options system is broken. While receiving stock options should be a life-changing opportunity for employees, many just can’t afford to exercise them. Equitybee is here to fix this problem by helping startup employees fund their options and take ownership of their hard-earned shares. If you love startups, and are hungry for success, this position is the right fit for you. What’s better than helping fellow startup builders participate in the success of the companies they worked so hard to build? www.equitybee.com

EquityBee is seeking an experienced Senior Compliance Analyst to strengthen its internal broker-dealer compliance function. Working closely with Legal and the broker-dealer’s designated CCO, the analyst will execute core supervisory and compliance processes across communications review and surveillance, investor onboarding and transaction review, private-placement due diligence, WSP testing, books and records, and regulatory readiness. This hands-on role partners with Sales, Operations, Product/Technology, and Marketing to apply sound regulatory judgment and build scalable compliance operations as the business grows. The ideal candidate is detail-oriented, execution-focused, and experienced in broker-dealer compliance.

About the role…

• Conduct initial compliance reviews of advertising, marketing materials, investor communications, and social media under FINRA Rule 2210 and other applicable requirements; coordinate required principal approvals and regulatory submissions
• Monitor registered representative correspondence, including email, Slack, and other electronic communications; administer surveillance tools and lexicons and maintain required retention records
• Review new investor accounts for accredited investor status, suitability, and required KYC/AML documentation before activation
• Review subscriptions and transactions for completeness and compliance with firm policies before processing
• Conduct product, offering, and issuer due diligence, including private-company research, across the firm’s private placement business
• Support registered representative oversight, including individual registrations and conflict-of-interest tracking
• Support annual FINRA Rules 3120 and 3130 processes, including supervisory controls testing, documentation, report preparation, and materials supporting CEO certification
• Maintain required books and records, transaction blotters, and firm registration records
• Assist with regulatory filings and submissions, regulatory examinations and inquiries, and internal and external audits
• Test and update WSPs and compliance policies; draft and implement new policies and procedures as needed
• Advise Product and Engineering on regulatory requirements affecting new products and product enhancements
• Implement and administer compliance systems and assist with compliance training and Firm Element continuing education
• Escalate novel or interpretive compliance issues to the firm’s designated CCO

Required qualifications…

• 4+ years of broker-dealer compliance or supervisory experience
• Active FINRA Series 7 and Series 24 registrations
• Hands-on experience with communications review, electronic correspondence surveillance, investor onboarding, KYC/AML, or supervisory testing
• Experience applying, testing, and updating written supervisory procedures (WSPs)
• Bachelor’s degree or equivalent relevant experience
• Strong regulatory judgment, attention to detail, and ability to prioritize multiple time-sensitive reviews
• Ability to communicate complex regulatory requirements clearly and work independently across business functions

Preferred qualifications…

• Experience with Regulation D private placements, particularly Rule 506 offerings
• Experience at an independent broker-dealer, fintech company, or lean compliance organization
• Familiarity with private-company equity, stock options, secondary transactions, and the venture-backed startup ecosystem
• Investment adviser or dual-registrant compliance experience
• Experience with communications-surveillance, regulatory-filing, and compliance workflow systems
• JD, MBA, or other relevant advanced degree

Benefits

• Healthcare & Dental Coverage | We offer comprehensive plans for healthcare, dental, vision, monthly wellness, FSA/HSA
• Flexible Paid Time Off | Take the time that you need to rest and recharge. We encourage it!
• 401k Match | We’ll match a percentage of your contributions as you save for your goals of retiring on a beach somewhere!
• Stock Options | As an Employee-Centric company (both internally and externally), we offer competitive stock options packages to participate in the success of building Equitybee. Own what you build!
• Dog-Friendly Office | Bring your pup into work and join the Equitybee dog-pack!
• Lunch | Lunch delivered during office days
• Fun Times | We genuinely enjoy each other’s company, and care about each other as people, so we have frequent team and company events, happy hours, and hangouts.