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.
Our compliance team works cross-functionally to help achieve Carta’s overall mission of building the future of equity ownership. Like the rest of Carta, we are committed to working collaboratively, transparently, and efficiently. We are committed to excellence in our work, a growth mindset and continuous improvement, and developing a deep understanding of our products and services as well as the broader business context in which our clients operate so that we can deliver innovative and creative solutions. We require a strong bias to action and for driving results, and are responsible for supporting all teams across the organization to ensure they have the resources they need to be successful while protecting Carta’s core values and interests.
We are looking for a Compliance Officer-Public Markets. We are looking for a team member who will partner with other groups to help them navigate through challenging issues, and bring a business-oriented, pragmatic mindset to solving regulatory and commercial problems in a fast-scaling company.
The Problems You’ll Solve
Under the supervision of the Chief Compliance Officer of Carta Securities, LLC, a Carta broker-dealer affiliate, you will:
- Support the public trading activities of Carta Securities with a focus on employee 10b5-1 trading plans & Rule 144 stakeholders
- Draft, maintain, implement and test best practice firm policies and procedures
- Assist with regulatory examinations, audits, and inquiries
- Draft and submit form filings with regulatory agencies (e.g. Form BD, Form BR, Form ATS, Forms U4/U5, etc.)
- Perform employee electronic communications reviews
- Serve as internal compliance resource and deliver compliance training
- Project manage the evaluation, procurement, and implementation of compliance technologies
- You have 8+ years of experience at a FINRA registered broker dealer
- FINRA series 7 and 24 (or 9/10) licenses
- Strong work ethic and attention to detail
- Ability to communicate effectively and are able to multitask to meet multiple deadlines
- Collaborative team player with strong interpersonal skills
- Intellectual curiosity and appetite to learn
- Strong critical thinking, problem solving, and decision making skills
- Uncompromising integrity
- Trustworthiness and discretion
- Ability to work independently with minimal supervision
- Working knowledge of securities laws, FINRA/SEC rules, and AML regulations
- Strong technology background with cybersecurity knowledge
- 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.
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 firstname.lastname@example.org. 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.