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, investment advisor and Alternative Trading System. We’re looking for an experienced and senior global compliance officer to architect, integrate, manage and oversee compliance programs and teams across all of SharesPost’s regulated entities in the United States and international jurisdictions.
What you’ll be doing:
- Provide and display leadership and management for a geographically dispersed compliance team
- Develop and train a high performing compliance team that is execution focused and disciplined in approach, including managing a compliance program for the business globally, working in partnership with local compliance leads and Chief Compliance Officers to create a consistent and effective and strong global compliance program.
- Develop a deep understanding of the private market and the ways in which SharesPost’s various services and products supports private growth companies and private funds
- Ensure compliance to relevant internal policies & procedures once established by legal counsel
- Maintain knowledge of current and proposed laws, regulations and guidelines affecting the private markets and asset management, and evaluate the effectiveness of corrective action plans
- Proactively look for and identify opportunities to better align our clients with the requirements of securities laws and regulations
- Participate with senior management in the establishment or revision of internal control procedures to ensure that adequate protection of the Company is maintained in the areas of securities law, regulatory compliance and data privacy as it applies to the various products and services at SharesPost
- Display the appropriate levels of assertiveness, maturity and guidance to effectively project the stature and importance of the compliance function across the organization
- Drive operational efficiencies by setting measurable goals, and working on leveraging and deploying new and existing technologies to improve efficiencies in the compliance programs across the organization
- Display superior judgment and rigor in relation to problem solving and appropriate escalation of issues
- Evaluate the company’s products, services and operations for compliance and ethics issues
- Oversee the development, execution and oversight of all aspect of the compliance programs of our alternative trading system, broker dealer and registered investment advisor
- Responsible for the design and oversight of the interaction between our regulated entities
- Represent and oversee the dialogue and interaction of SharesPost with US and international regulators, including the SEC and FINRA with regard to exams and other regulatory matters
- Oversee the drafting and submission of all regulatory filings for all of our regulated entities
- Design training programs for compliance personnel, registered representatives and other employees to ensure that SharesPost operates in compliance with securities laws and regulations and provides our clients with the highest levels of service and integrity
What we’re looking for in you:
- 15+ years’ compliance experience in a compliance department of a large registered broker dealer and/or and investment advisor
- Knowledge of SEC and FINRA regulations relating to broker-dealers, alternative trading systems, investment advisors and investment companies
- Knowledge of brokerage and investment adviser back office systems
- Knowledge of Singapore and Dubai financial and securities framework and regulations a plus
- Strong analytical and communication skills
- Strong attention to detail
- Bachelor’s Degree or above
- FINRA Series 7, 14, and 24
SharesPost is an SEC-registered broker-dealer, investment advisor and an approved Alternative Trading System. SharesPost helped launch the private tech growth market in 2009 and has built one of the leading platforms for secondary transactions. SharesPost provides the private tech asset category with a suite of trading and lending solutions to facilitate shareholder and option holder liquidity. With over $4 billion in secondary market transactions for more than 280 leading technology companies, SharesPost provides the trading, research and online tools to transact in the private market with confidence.
SharesPost is an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
If you’re interested in helping us build a great company in the fast-growing private capital market, please email us at email@example.com.