Company: SharesPost Financial Corporation
Position: Compliance Officer
Location: San Francisco, CA or New York, NY
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 (“SPFC”), facilitates transactions in private company securities. We’re looking for a Compliance Officer with experience with SEC and FINRA rules to support SPFC’s compliance program.
What you’ll be doing:
- Support Onboarding Team with new customer documentation related to OFAC, KYC and CIP policies, perform AML reviews and approvals for new accounts, and manage FinCEN 314a requests.
- Assist CCO with the development, implementation and maintenance of SPFC’s compliance policies and procedures.
- Provide appropriate real-time support, advice, and training to the relevant front office and infrastructure personnel with respect to broker-dealer compliance.
- Assist with employee trading monitoring and FINRA Firm Gateway filings, including Form BD and Forms U4/U5, and monitoring continuing education requirements.
- Review, interpret and assess regulatory impact related to proposed and new SEC and SRO rules.
- Assist with internal and external exams, audits, inquiries, risk assessments, and similar reviews.
- Conduct electronic communication reviews of licensed personnel.
- Review and approve marketing materials and other public communications.
What we’re looking for in you:
- 3+ years of broker-dealer compliance experience.
- Knowledge of SEC, SRO, and AML rules and regulations.
- Series 7 (required) and 24 (preferred).
- Bachelor’s degree (required).
- Ability to work dynamically in a small private company and culture.
- Strong communication, interpersonal, and presentation 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.
- Strong technical skills in MS Word and Excel.
About SharesPost. SharesPost helped launch the private market in 2009 and continues to lead and innovate in the space. Based in Silicon Valley, 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 billion in closed transactions for more than 150 leading technology companies, SharesPost provides shareholders and buyers 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 firstname.lastname@example.org.