Securities Administrator

Employer: Sprott Global Resources Investments, Ltd
Location: Carlsbad, CA             
Reporting to: Head of Operations

Sprott Global Resource Investments. Ltd. (“Sprott Global”), a division of Sprott Inc. (“Sprott”), is a full service U.S. brokerage firm providing personalized brokerage services to investors in the natural resource sector.  Sprott Global is headquartered in Carlsbad, California and is regulated by the Financial Industry National Regulatory Authority. Sprott is based in Toronto and has offices in New York, California, Connecticut, London and Vancouver.  Sprott today serves over 200,000 global clients and, as of September 30, 2021, has approximately $19 billion in assets under management. Sprott’s common shares (SII) are listed on the NYSE and TSX.


Position Description

We are seeking a full time Securities Administrator who will be responsible for overseeing and processing documents related to securities offerings under Regulation D. Regulation D offerings, or private placements, allow a company to issue new securities to select high net worth investors (accredited investors) without first registering the offering with the Securities Exchange Commission. The incumbent in this position will also perform other duties as needed, such as serving as a backup cashier and backing up our private placements processor.   


Position Responsibilities

  • Close cooperation with Operation and Sales teams
  • Close cooperation with Finance department - obtaining original information related to the new private placement
  • Ensuring proper coding of initial placement in internal system APX (Advent)
  • Preparing and sending appropriate paperwork to clients
  • Logging received information and preparing summaries for the financial advisors
  • Monitoring restricted positions on a daily basis and preparing required documentation for our custodian
  • Receiving and analyzing daily sheets from our custodian and coordinating with others internally to ensure proper coding
  • On a daily basis, reconciling the data related to restricted securities
  • Ensuring proper cost basis information
  • When necessary, consulting issuer attorneys
  • Serve as a backup cashier
  • Backing up private placements processor


  • Experience with Microsoft Office suite – especially Microsoft Excel and Word
  • Excellent communication skills, both written and verbal
  • Great attention to detail
  • Knowledge of DocuSign preferred
  • Bachelors or Associates Degree preferred
  • Financial Services background preferred


All candidates who receive an offer of employment from Sprott will be required to provide proof of COVID-19 vaccination unless they have been approved for an accommodation or they will work in a state that does not permit vaccination requirements.

To apply for this position, please send your resume and cover letter to Human Resources at with the position title (Securities Administrator) in the subject line. We thank all applicants for their interest; however, only qualified candidates as determined by Sprott will be contacted. Sprott does not accept unsolicited agency resumes or phone calls.

Sprott welcomes and encourages applications from people with disabilities. Please let us know if we can provide accommodations to support your participation in Sprott’s recruitment process.

Sprott Global Resource Investments Ltd. and Sprott Asset Management USA, Inc. are Equal Opportunity Employers.

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