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Regulatory Surveillance Director SeedInvest


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Circle's SeedInvest service is the leading equity crowdfunding platform in the U.S., offering a two-sided marketplace for issuers and investors and enabling internet-native private capital markets to grow and flourish. SeedInvest dramatically changes the way private companies can raise capital and offers investors direct access to seed and growth stage private companies. SeedInvest supports a rapidly growing marketplace of ~500,000+ investors and hundreds of entrepreneurs and startups, deploying over $300 million into nearly 250 startups across a wide range of sectors, stages, and geographies.

What you’ll be responsible for:

As part of the SeedInvest Compliance team, you willbe responsible for multiple areas, including surveillance and monitoring activities; compliance training for registered representatives; drafting regulatory filings; written communications with regulatory agencies; reviewing and documenting employee trade reviews; and assisting with vendor due diligence.

What you'll work on:

  • Assist the Chief Compliance Officer enhance and implement the compliance program including the creation, maintenance, and implementation of relevant compliance policies and procedures.
  • Manage broker-dealer Rule 4530 filings.
  • Determine if employees are candidates for FINRA registration/licensing and coordinate the licensing process. Process Form U4/U5.
  • Review, approve and maintain pre-clearance requests and Outside Business Activity records.
  • Monitor and develop reporting to address unusual behavior and identify potential violations in employee communications.
  • Develop, coordinate and follow-up with employees regarding initial, annual training and continuing education requirements.
  • Assist with regulatory inquiry and examination responses, and conduct compliance initiatives, as needed.
  • Review and approve personal brokerage accounts and private securities transactions requests of registered representatives and maintain relevant records.
  • Collaborate cross-functionally with the other Compliance and Legal roles.

You will aspire to our four core values:

  • Multistakeholder - you have dedication and commitment to our customers, shareholders, employees and families and local communities.
  • Mindful - you seek to be respectful, an active listener and to pay attention to detail.
  • Driven by Excellence - you are driven by our mission and our passion for customer success which means you relentlessly pursue excellence, that you do not tolerate mediocrity and you work intensely to achieve your goals.
  • High Integrity - you seek open and honest communication, and you hold yourself to very high moral and ethical standards. You reject manipulation, dishonesty and intolerance.

What you’ll bring to Circle:

  • BA/BS, or a similar degree, required.
  • 10+ years of experience with a registered US broker dealer or regulator.
  • Excellent written and verbal communication skills.
  • Attention to detail; excellent organizational skills.
  • Excellent analytical skills.
  • Ability to exercise sound judgment and escalate issues appropriately.
  • Strong project management skills with the ability to multi-task and manage competing priorities.
  • Ability to establish and maintain strong relationships across multiple departments and regions.
  • Team player and ability to work collaboratively.
  • High degree of familiarity and comfort in working with complex IT systems and processes, and operating in a technical environment.
  • Experience/familiarity with Slack, Apple MacOS and G-Suite.

Location: While our HQ is the internet, ideally this candidate is based in the East Coast time zone. Candidates should be aware that the majority of the team is based in the NYC and Miami areas and that the workday is scheduled around the East Coast time zone.