Company: SharesPost Financial Corporation
Position: Chief Compliance Officer
Location: San Francisco, CA
SharesPost, Inc. (“SharesPost”) helped launch the private growth market in 2009 and continues to lead and innovate in the space. With offices in San Francisco and New York, SharesPost operates an SEC-registered broker-dealer, alternative trading system, and investment advisor. Our U.S. broker dealer, SharesPost Financial Corporation, facilitates transactions in private company securities. We’re looking for a Chief Compliance Officer (“CCO”) with extensive experience with private placements and SEC and FINRA rules to manage the U.S. broker -dealer’s compliance program.
What you'll be doing:
- Develop, implement, and maintain the broker-dealer’s compliance program, including policies, procedures, systems monitoring, technology and training (i.e. Firm Element Plan).
- Manage a staff of experienced compliance personnel and work closely with SharesPost’s Global Chief Compliance Officer and Legal Department.
- Provide appropriate support, advice and training to relevant front-office and operational personnel with respect to FINRA and SEC rules and regulations, information barriers, licensing requirements, supervision, and other compliance-related issues.
- Manage internal and external regulatory examinations, audits, inquiries, and similar reviews in relation to the broker-dealer’s business activities.
- Ability to identify current and emerging regulatory risks, implement risk mitigation plans, and provide reports to the Global CCO and senior management.
- Work with the Global CCO and internal and external legal counsel to adapt to regulatory developments or address the compliance implications of new business products and services.
- Review, interpret, and assess regulatory impact related to proposed SEC and SRO rules and regulations.
- Develop and execute appropriate testing programs to verify compliance with relevant rules.
- Investigate, develop, and implement appropriate action plans in response to regulatory, testing, or audit findings.
- Review and approve marketing materials and other public communications.
What we're looking for in you:
- 10+ years’ compliance experience in a compliance department of a registered broker-dealer
- Extensive knowledge of Regulation D, Section 4 of the Securities Act of 1933, and SEC and FINRA rules
- Excellent written and verbal communication skills and interpersonal skills to work effectively with internal and external stakeholders
- Detail oriented, accurate, organized and able to set priorities
- Ability to multi-task and adapt to shifting priorities
- Series 7, 24 (required); Series 14, 82 (preferred)
- Bachelor’s degree (required); JD (preferred)
About SharesPost. SharesPost helped launch the private market in 2009 and continues to lead and innovate in the space. Based in San Francisco, SharesPost is an SEC-registered broker-dealer, investment advisor and Alternative Trading System. SharesPost has also built the largest and most active platform for data, analysis and transactions. With more than $4.5 billion in closed transactions for more than 300 leading technology companies, SharesPost provides shareholders and investors with the expertise and tools they need to transact in the private market with confidence. For more information, please visit sharespost.com.
If you’re interested in helping us build a great company in the fast-growing private capital market, please email email@example.com.