Head of Corporate Compliance
Compensation: $165,260.00 - $165,260.00 /year *
Employment Type: Full-Time
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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. Our goal is to create more owners and increase transparency and liquidity for shareholders. More than 800,000 investors, law firms, and employees use our platform, and we manage over $575B in equity.
Carta is looking for an experienced compliance professional to serve as the Head of Corporate Compliance. In this role you will create, develop and implement a company-wide compliance program focusing on ethics, culture, and regulatory requirements. The creation of this program will include developing messaging relating to the company's mission, culture, and values; implementation of policies and procedures to identify and manage conflicts of interest; development of mandatory training; and building a team to ensure sustainability.
* Perform company-wide assessment to determine how to leverage existing protocols and identify specific gaps
* Work closely with Executive Team to develop messaging regarding company compliance
* Identify and document conflicts of interest
* Develop, draft and implement policies and procedures to manage conflicts of interest including investing activity of employees and the company, outside business activities, access to non-public information, gifts and entertainment, and sales and marketing activity
* Design periodic training program and integrate compliance training of new employees into existing Launch program
* Develop Corporate Compliance roadshow to roll out program company-wide
* Explore how to leverage existing compliance controls embedded within broker-dealer to expand company wide
* Identify compliance controls currently performed for the broker-dealer that should be centralized and applied company-wide
* Develop and implement an internal discipline policy
* Develop and implement a heightened supervision policy
* Collaborate closely with company stakeholders including business functions, Legal, the People team, and the other components of company Compliance
* Design testing and controls to ensure effectiveness and sustainability of the Corporate Compliance program
* Ensuring compliance with regulatory requirements
* Serve as a resource and advisor on ethics issues
* Develop a hiring plan and identify appropriate personnel to join the Corporate Compliance team
* Significant experience implementing and/or overseeing a well-formed compliance framework within a mature company
* Expertise in design, implementation and testing of compliance controls
* Superior writing skills - specifically in connection to designing and drafting compliance policies and procedures
* Excellent judgment and instincts based on deep experience and an ability to defend judgment calls on complex and difficult issues
* Strong communicator and collaborator capable of working closely with Executive Leadership team to ensure the Compliance program is designed effectively and supported
* Exemplary role model who will influence company-wide culture and ethics
* Ability to take initiative and drive development and implementation of the Corporate Compliance program
* Strong organizational skills to ensure all aspects of the program are built and implemented
* Strong and experienced manager who can build and develop a team and serve as a mentor to the Compliance function
* Strong experience managing and unifying teams in a wide range of geographical locations
* JD strongly preferred
Carta is a Series E company and is backed by top-tier VCs like Andreessen Horowitz, Lightspeed Venture Partners, Meritech Capital, and more.
We are an equal opportunity employer. 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.
Associated topics: business, company, compliance, compliance department, corporate, counsel, internal, legal, legal affairs, market
* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.
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