Compliance Contractor - Marketing Materials Review

at  StartEngine

ABOUT US:

StartEngine is a leading equity crowdfunding platform that empowers everyday investors to invest in startups and innovative companies. We specialize in capital raising through Regulation A, Regulation CF, and Rule 506(c) offerings. Our mission is to help entrepreneurs achieve their fundraising goals while ensuring full compliance with all regulatory requirements.

POSITION OVERVIEW:

We are seeking a licensed compliance professional with experience in reviewing and approving marketing materials according to FINRA Rule 2210. This is a part-time hourly contractor role. The focus of this role is to ensure compliance of our issuer’s marketing communications across various crowdfunding campaigns.

QUALIFICATIONS

• Must hold appropriate FINRA licenses (e.g., Series 24, Series 7, or equivalent).
• Proven experience in a compliance role within a broker-dealer, especially in reviewing marketing materials.
• Strong knowledge of FINRA Rule 2210 and related regulations.
• Excellent attention to detail and communication skills.

• Review and approve marketing materials (ads, social media, brochures, etc.) to ensure compliance with FINRA Rule 2210.
• Collaborate with the compliance and marketing team to provide compliance guidance and feedback.
• Stay current with FINRA regulations and best practices to ensure all communications meet regulatory standards.
• Work independently to address any compliance concerns that may arise.