Senior Corporate Counsel - Brokerage and Markets

The Company You’ll Join

At Carta we create owners and make private markets liquid. 

We live in a world where some people live on the equity stack and enjoy exponential wealth growth and preferential tax treatment; others live on the debt stack and may work their entire lives for a company and retire only with the cash they’ve managed to save from their paychecks. Our contribution to solving the wealth inequality problem is moving people from the debt stack (payroll) to the equity stack. By making it as easy to issue equity to employees as it is to put them on payroll, we can create more owners. 

At Carta, we are helpful, transparent, fair, and kind. We are relentless executors, unconventional thinkers, and masters of our craft. 

To learn more, here is what one of our investors wrote about leading our Series F. 

The Team You’ll Work With

At Carta, we’re building the future of equity and ownership. We’ve changed how companies, investors, and employees manage equity. Now, we’re transforming how capital markets operate.

In this role, you will be an integral member of the Carta legal team with primary coverage of the broker-dealer activities of the company. Carta’s broker-dealer activities include  private placement and secondary trading of private securities, as well as public trading of NMS stock with a focus on employee plan trading.   

The Problems You’ll Solve 

Under the supervision of the Carta Deputy General Counsel for Brokerage and Markets, you will:

  • Support the public trading activities of the Carta broker-dealer with a focus on employee trading plans.
  • Draft, review and negotiate documentation related to public trading of securities, 10b5-1 plan agreements and related documentation
  • Assist private companies that are clients of Carta in the process of transitioning from private to public for purposes of providing transfer agent and public trading services
  • Draft review and update various other documents and materials for products and services offered by the broker-dealer, including client communications and marketing materials
  • Work on a variety of issues centered around compliance, business development, marketing and commercialization of technology solutions and products for our customers
  • Work closely with the compliance team to develop creative approaches to managing legal and regulatory risks 
  • Provide support as needed to the other members of the Carta legal team, and collaborate effectively with internal stakeholders and outside counsel
  • Assist with the coordination and collaborative interaction with regulatory agencies and handling of regulatory agencies’ inquiries and examinations

About You

  • Understanding of laws and regulations that apply to financial products, brokerage services and transfer agent activities
  • Experience with the regulatory scheme surrounding public trading and employee trading plans, including drafting and negotiation of all related agreements and disclosure documentation
  • Experience with broker-dealer regulation and public trading of securities is required
  • Experience with employee trading plans and transfer agent activities is strongly desired 
  • Experience in transitioning from private to public markets (IPOs, direct listings) is desired
  • Ability to distill complex legal concepts into simple, actionable recommendations
  • Ability to manage and handle sensitive and confidential information with the highest levels of integrity, ethical standards, discretion and sound judgment
  • Strong communication skills combined with the ability to work under tight deadlines
  • High level of integrity, attention to detail and excellent writing, communication and interpersonal skills
  • Team player, able to collaborate across various teams and levels and form strong working relationships with colleagues and counterparties in a fast-paced work environment
  • A minimum of 7 years working for a top law firm, government agency, or in-house experience at a financial institution
  • Admission to the New York Bar

We are an equal opportunity employer and are committed to providing a positive interview experience for every candidate. If accommodations due to a disability or medical condition are needed, connect with us via email at recruiting@carta.com. As a company, we value fairness, helpfulness, transparency, leadership and build our teams around these values. Check out our careers page to get to know us better as you think about your next step at Carta.

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