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Director of Compliance, Operations

Company: Carta
Location: Salt Lake City
Posted on: June 12, 2021

Job Description:

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 Director of Compliance, Operations for Carta's core business units. We are looking for a team member who will partner cross-functionally to help Carta's business navigate through challenging issues, and bring a business-oriented, pragmatic mindset to solving regulatory and commercial problems in a fast-scaling company. The ideal candidate will have experience managing compliance professionals in fast-paced, startup environments.

The Problems You'll Solve

Under the supervision of Carta's General Counsel, you will:

* Advise, develop and oversee control systems to detect, prevent and/or manage violations of legal requirements and internal policies across Carta's core business lines (cap table management, 409A, investor services, tax services, and total compensation) * Work cross-functionally with Carta's Product, AML and Finance departments to enhance existing payment-related compliance controls * Supervision, development and mentoring of compliance professionals * Draft, maintain, implement and test best practice operational policies and procedures * Prepare for and assist with regulatory examinations, audits, and inquiries regarding the business activities of Carta's SEC Registered Transfer Agent * Oversee the drafting and submission of form filings with regulatory agencies * Serve as an internal compliance resource and deliver compliance training * Project manage the evaluation, procurement, and implementation of compliance technologies as needed

About You

* Bachelor's Degree from an accredited college and/or university * 10+ years of experience overseeing compliance activities in regulated businesses; FinTech experience strongly preferred * Experience and familiarity with regulatory framework relating to unregistered securities * Strong work ethic and attention to detail * Ability to communicate effectively and are able to multitask to meet multiple deadlines * Track record of building and supervising efficient compliance teams * 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 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.

Keywords: Carta, Salt Lake City , Director of Compliance, Operations, Other , Salt Lake City, Utah

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