Company: SharesPost Inc.
Position: Regulatory Manager
Location: San Francisco, California
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. We’re looking for an experience regulatory manager to augment our compliance and operations teams.
What you’ll be doing:
- Processing of client and firm brokerage transactions
- Preparation of brokerage accounting records in accordance with GAAP and Regulatory rules
- Prepare monthly reconciliations to ensure issues identified are resolved on a timely basis
- Preparation of SEC Rule 15c3-3 and Rule 15c3-1 computations
- Preparation of the monthly, quarterly and annual regulatory filings with the SEC, FINRA and other regulatory bodies
- Ensure records are maintained in accordance with FINRA and SEC regulatory requirements
- Support the annual audit and FINRA/SEC exams
- Develop and maintain policies and procedures, and related internal controls
- Design and implement new procedures and improvements
What we’re looking for in you:
- 7+ years’ experience in a regulatory reporting or an operations department of a registered broker dealer
- Knowledge of SEC and FINRA regulations
- Knowledge of brokerage back office systems
- Strong analytical and communication skills
- Strong attention to detail
- Bachelor’s Degree
- FINRA Series 99 and 27 preferred
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 and Initial Coin Offerings pursuant to Reg. D. 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 250 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 firstname.lastname@example.org.