Trading Operations Lead

About StartEngine
StartEngine is the FinTech powerhouse driving the future of fundraising and alternative investing. StartEngine was founded by Howard Marks, the co-founder of Activision (now valued at over $75B), with the goal of helping entrepreneurs achieve their dreams by removing funding barriers. Howard partnered with co-founder Ron Miller, a veteran entrepreneur and early advocate of equity crowdfunding, to build a platform that democratizes access to capital. In 2020, StartEngine welcomed Shark Tank judge and serial entrepreneur Kevin O’Leary (aka Mr. Wonderful) as Strategic Advisor and Investor. Since its inception, StartEngine has helped over 550 companies raise more than $1.1B from retail investors, with investments starting at as little as $100.
Why merely back a company when you can own a piece of it?
As our Secure Operations Lead, you’ll play a central role in ensuring accurate, efficient, and compliant management of shareholder records. You’ll coordinate transfers, maintain complete and up-to-date ledgers, and provide hands-on support to startups, investors, and business partners as they navigate our platform. Beyond day-to-day execution, you’ll also help refine and enhance our operational frameworks, contributing insights that inform product improvements and position us as a category leader.

Key Responsibilities

• Cap Table Management: Oversee and maintain precise shareholder records, ensuring all information is current, verified, and compliant.Involves Excel/Sheets + navigating some backend database tables to create information in the correct form
• Transaction Processing: Execute security transfers, share issuances, and other corporate actions swiftly and accurately.
• Customer Support: Collaborate closely with companies and their investors to guide them through key milestones, troubleshoot challenges, and deliver exceptional service.
• Compliance & Reporting: Ensure adherence to regulatory requirements by coordinating with internal teams, preparing required documentation, and managing audit requests.
• Operational Improvements: Identify and implement process enhancements, including automation opportunities, integration improvements, and scalable workflows.
• Strategic Input: Work closely with product, engineering, and compliance teams to shape new features, refine the user experience, and drive the product roadmap.

Qualifications

• Experience: 2+ years in a transfer agent role, brokerage operations, or related capital markets/financial services environment.
• Technical Aptitude: Comfort with software tools and database structures  (Excel/Sheets + Metabase (any SQL Database))
• Attention to Detail: Proven track record of executing and validating data
• Communication: Strong interpersonal skills, with the ability to communicate complex concepts clearly to clients, partners, and internal stakeholders.
• Regulatory Knowledge: Familiarity with SEC and FINRA rules, as well as general compliance standards, is a plus.
• Adaptability: Eagerness to work in a dynamic, growing environment where you’ll help shape processes, tools, and best practices.

Critical Skills

• Detail oriented 
• High critical thinking and reasoning skills
• Proficiency under pressure 
• High knowledge retention 
• Ability to multi-task 
• Embrace of change and quickly shifting demands
• Ability to order competing priorities under pressure
• Basic comprehension of finance
• Teachability

Benefits

• 100% covered Medical/Dental/V