Lead Compliance Officer, Transfer Agent

Carta San Francisco , CA 94118

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.


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Lead Compliance Officer, Transfer Agent

Carta