Lead Compliance Officer, Transfer Agent

Carta Salt Lake City , UT 84101

Posted 1 week ago

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 transfer agent compliance professional to serve as the company's Lead Transfer Agent Compliance Officer. Carta's Transfer Agent primarily manages unregistered securities for its private company customers. In this role you will focus on assessing current transfer agent compliance policies, processes, and technologies, and identifying, developing and implementing any necessary enhancements. You will be responsible for ensuring that Carta maintains a state-of-art transfer agent compliance program that fulfills all regulatory requirements, in turn ensuring that the company is not exposed to associated regulatory, reputational, financial, and legal risk. This role will include developing and implementing policies and procedures, development and delivery of mandatory training, and design and testing of controls to ensure effectiveness and sustainability.

Responsibilities

  • Assess current transfer agent compliance program and identify required enhancements to ensure compliance with regulatory requirements

  • Assess adequacy of various transfer agent compliance policies, procedures and standards to document processes, and conduct interviews with stakeholders to identify and inform enhancements;Analyze data to identify and escalate transfer agent compliance risks, and design reporting templates and standards

  • Develop and assist in the delivery of training sessions pertaining to transfer agent policies and procedures, issue management and risk assessment and mitigation

  • Draft a report and presentation for senior executives setting forth the results of the Transfer Agent risk assessment

  • Design a plan to address identified risks and work with other company stakeholders to implement the remedial measure plan

  • Oversee and manage regulatory agency engagement regarding the Transfer Agent, including providing assistance in managing regulatory inquiries and examinations

  • Closely collaborate with stakeholders throughout the company who interact with the platform housing Transfer Agent data

Qualifications

  • Minimum 8-10 years Transfer Agent experience, ideally relevant to compliance or risk functions with hands-on proficiency and familiarity with industry best-practices for various compliance activities, such as policies and procedures, trainings, communications plans, risk assessments, management of compliance issues, testing and monitoring, cybersecurity safeguards, and robust operational processes

  • Bachelor's degree from an accredited college/university; JD is desirable but not required

  • Self-starter who can work independently and is willing to identify and implement innovative and creative solutions

  • Excellent interpersonal skills and ability to communicate, and collaborate, effectively both verbally and in writing, particularly with senior level global stakeholders on a daily basis

  • Strong organizational and analytical skills; attention to detail with ability to handle high volume workload

  • Ability to multitask and prioritize multiple workstreams concurrently, and communicate timely with workstream leads to balance workload and deliverables

  • Experience and familiarity with regulatory framework relating to unregistered securities, 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 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.

For additional information, please read about our candidate privacy policy here.


icon no score

See how you match
to the job

Find your dream job anywhere
with the LiveCareer app.
Mobile App Icon
Download the
LiveCareer app and find
your dream job anywhere
App Store Icon Google Play Icon
lc_ad

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Research Compliance Office Data Compliance Officer

University Of Utah

Posted 1 week ago

VIEW JOBS 3/21/2020 12:00:00 AM 2020-06-19T00:00 Details Open Date 10/21/2019 Requisition Number PRN22286B Job Title Compliance Officer Working Title Research Compliance Office Data Compliance Officer Job Grade F FLSA Code Administrative Patient Sensitive Job Code? No Standard Hours per Week 40 hours Full Time or Part Time? Full Time Shift Day Work Schedule Summary M-F. VP Area President Department 01345 - HCI Clinical Resrch Compliance Location Campus City Salt Lake City, UT Type of Recruitment External Posting Pay Rate Range 47,600 - 66,000 Close Date Open Until Filled Yes Job Summary The Research Compliance Office Data Manager Compliance Officer will ensure data for oncology clinical trials is accurate, complete and entered in a timely manner, so that data generated for publication is valid, high-quality, reliable, and statistically sound. This position will work closely with numerous members of the clinical research team including the Principal Investigator (PI), Clinical Research Coordinator, Research Data Coordinator, Biostatistician, Clinical Site Monitor, Regulatory, and Protocol Writer. This position will be responsible for developing, validating, amending, and analyzing electronic case report forms (eCRF) in accordance with the protocol. This position may also report on the study progress as it relates to Investigator Initiated Trial ( IIT ) data to the Data Safety Monitoring Committee. The primary focus of this position will be to ensure accurate case histories are maintained with respect to the primary and secondary data for oncology clinical trials at Huntsman Cancer Institute. Responsibilities Responsibilities: * Work with the PI and statistician to create a data management plan in accordance with the protocol. * Develops IIT eCRF in accordance with the protocol and the associated statistical analysis plan with direction from the Principal Investigator (PI), Biostatistician, Clinical Site Monitor and the Clinical Trials Office research team. * Assist in the development, implementation and optimization of data collection systems and other strategies that enhance data quality and completeness Tracks IIT protocol amendments to ensure eCFRs are updated as appropriate to facilitate protocol compliance. Amends eCRFs as necessary for quality control purposes and business system upgrades. * Oversee, coordinate and conduct quality assurance reviews for Industry Sponsored and National Cancer Trials Network studies to ensure compliance with study protocol, University, state and federal guidelines. * Verify the data submitted by the study sites is complete and accurate, ensuring the quality, integrity and validity of the data collected. * Report quality findings to the Director of Research Compliance, the Program Manager, the Clinical Trials Office Director, and the Principal Investigator as appropriate. * Generates electronic queries, when appropriate, to resolve inconsistencies in data * Review responses to queries to ensure appropriate resolution and resolve any discrepancies * Export, review, and validate data exports for consistency to facilitate consistent data and ensure data captured follows the requirements outlined in the protocol. * Review data for formatting and any missing data points. Organize the data based on the recommendations from the PI and statistician. * Coordinate and act as a point of contact for data management questions on oncology clinical trials. * As needed, manage the creation of clinical research reporting documents such as manuscripts, posters or oral presentations to present data objectively in a clear, concise format. * Ensure compliance with results reporting for clinicaltrials.gov * Recommends enhancements to standard operating policies and procedures for compliance review. Develop departmental SOPs. Disclaimer This job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to the job. Minimum Qualifications Bachelor's degree in Health Care Administration, Business Administration or a related field or equivalency (2 years related work experience may be substituted for 1 year of education). Five years regulatory or administrative law experience, with at least three of those years in a health care setting or equivalency; coding certification ( CPC , ACS , CCS -P/H, RHIA ); knowledge of medical auditing, Federal healthcare program policies and requirements (including Medicare Parts A and B), and ICD -10, CPT , HCPCS , DRG coding; proficient with word processing, spreadsheet and related computer applications; demonstrated human relations and effective communication skills also required. Knowledge of utilization review and quality assurance procedures is preferred. An understanding of University operations, policies and technology is preferred. Training or teaching experience is also preferred. Applicants must demonstrate the potential ability to perform the essential functions of the job as outlined in the position description. Preferences * Certified Clinical Research Professional ( CCRP , CCRC , or CCRA ) * Prior experience or knowledge of oncology, and oncology-related research * Working knowledge of Food and Drug Administration ( FDA ) requirements, Office of Human Research Protection ( OHRP ), International Conference of Humanization ( ICH ) Good Clinical Practice ( GCP ), as well as state and federal guidelines. * Knowledge of clinical development process sufficient to effectively direct and manage multiple projects and timelines * Strong attention to detail, establishing priorities, and adhering to deadlines * Experience in the management of clinical trials and the clinical development process. Oncology clinical trial experience preferred. * Able to exercise appropriate judgment within generally defined practices and policies in selecting method for obtaining solutions * Able to show initiative and work independently, take initiative and complete tasks to meet deadlines * Knowledge of utilization review and quality assurance procedures is preferred. An understanding of University operations, policies and technology is preferred. Training or teaching experience is also preferred. Type Benefited Staff Special Instructions Summary Additional Information The University of Utah is an Affirmative Action/Equal Opportunity employer and is committed to diversity in its workforce. In compliance with applicable federal and state laws, University of Utah policy of equal employment opportunity prohibits discrimination on the basis of race or ethnicity, religion, color, national origin, sex, age, sexual orientation, gender identity/expression, veteran's status, status as a qualified person with a disability, or genetic information. Individuals from historically underrepresented groups, such as minorities, women, qualified persons with disabilities, and protected veterans are strongly encouraged to apply. Veterans' preference is extended to qualified applicants, upon request and consistent with University policy and Utah state law. To inquire about this posting, email: employment@utah.edu or call 801-581-2300. Reasonable accommodations in the application process will be provided to qualified individuals with disabilities. To request an accommodation or for further information about University AA/EO policies, please contact the Office of Equal Opportunity and Affirmative Action, 201 S. Presidents Cr., Rm 135, (801) 581-8365 (V/ TDD ), email: oeo@umail.utah.edu . The University is a participating employer with Utah Retirement Systems ("URS"). Eligible new hires with prior URS service, may elect to enroll in URS if they make the election before they become eligible for retirement (usually the first day of work). Contact Human Resources at (801) 581-7447 for information. Individuals who previously retired and are receiving monthly retirement benefits from URS are subject to URS' post-retirement rules and restrictions. Please contact Utah Retirement Systems at (801) 366-7770 or (800) 695-4877 or University Human Resource Management at (801) 581-7447 if you have questions regarding the post-retirement rules. This position may require the successful completion of a criminal background check and/or drug screen. The University is a participating employer with Utah Retirement Systems ("URS"). Eligible new hires with prior URS service, may elect to enroll in URS if they make the election before they become eligible for retirement (usually the first day of work). Contact Human Resources at (801) 581-7447 for information. Individuals who previously retired and are receiving monthly retirement benefits from URS are subject to URS' post-retirement rules and restrictions. Please contact Utah Retirement Systems at (801) 366-7770 or (800) 695-4877 or University Human Resource Management at (801) 581-7447 if you have questions regarding the post-retirement rules.This position may require the successful completion of a criminal background check and/or drug screen. University Of Utah Salt Lake City UT

Lead Compliance Officer, Transfer Agent

Carta