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Deputy CCO of Brokerage and Markets

Company: Carta
Location: New York
Posted on: January 16, 2022

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.

Learn more about our Series G fundraising round here .

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

You'll be the Deputy Chief Compliance Officer of Brokerage and Markets, reporting directly to the Chief Compliance Officer of Brokerage and Markets. Carta Capital Markets, LLC (CCMX) is a wholly owned subsidiary of Carta, Inc., and operates the CartaX alternative trading system (ATS) and this team is responsible for ensuring CCMX meets all of its discrete regulatory obligations.

You will work with your colleagues in compliance to support CCMX's compliance efforts, but also cross-functionally with various other teams including legal, finance, product, engineering, and information security, to help identify and mitigate risks, and ensure CCMX is adhering with all of its regulatory responsibilities. We are a team that believes that partnering closely with colleagues across all departments and engaging early and often on projects and initiatives best enables us to provide effective guidance and foresee potential risks before they manifest.

The Problems You'll Solve

You'll play a critical role in shaping our compliance function by designing and implementing best-in-class compliance protocols, and driving improvements upon existing processes . You'll collaborate across various areas within the brokerage and markets team, providing advice, managing deadlines, and interacting with key internal and external stakeholders. You'll identify compliance issues and enterprise risks, and create and implement scalable solutions and mitigants. You'll craft and implement policies and procedures, helping to mature our compliance program, and identify areas for enhancement and efficiency gains. You'll build strong relationships of trust and confidence across the organization and externally. You'll develop and perform surveillance and supervisory reviews. You'll assist the CCO in responding to regulatory inquiries, gathering together responsive information and data, consulting with other stakeholders, and compiling narrative and data-driven responses.

About You
Self-starter with a strong work ethic
Highly motivated and tenacious
Proven ability to take initiative and manage projects from inception to completion
Comfort working within a team environment, while autonomously managing your own workload
Comfort working cross-functionally across diverse teams
Uncompromising moral and ethical compass
A 'no job too big, no job too small' attitude
A solution-oriented mindset
Ability to break down complex problems into manageable component parts
Comfort getting deep in the details
Eager to rapidly learn new areas and quickly master them
Comfort in a dynamic, fast-paced environment, with a relatively flat organizational structure
Strong ability to project manage, and balance competing priorities and deadlines
Very strong interpersonal and communication skills

Requirements
Deep working knowledge of regulatory frameworks applicable to broker-dealers, including a strong understanding of SEC and FINRA rules
Strong working knowledge of electronic trading systems, preferably alternative trading systems
10+ years of experience in financial services compliance, with a focus on broker-dealer compliance matters, and preferably within the FinTech space
Experience managing regulatory examinations, audits, and investigations
Extensive experience writing, iterating, enforcing and testing policies and procedures
Experience conducting research, applying to a set of discrete circumstances, and providing corresponding advice
FINRA SIE, Series 7, and Series 24 licenses
Comfortable compiling and providing employee training
Experience coordinating with outside counsel on special projects

Preferable
JD / legal experience
Post-graduate degree in a relevant field (e.g. law, finance, business, accounting)
Strong understanding of registration exemption frameworks (e.g. Reg D, Rule 144, Rule 506, Section 4(a)(7))
Experience advising on compliance-related issues pertaining the the private placement of securities
Solid working knowledge of Regulation ATS
Experience working for a carrying broker-dealer and knowledge of Rule 15c3
Experience overseeing critical third-party vendor relationships
Working knowledge of AML rules and regulations (e.g. BSA, Patriot Act, FINRA Rule 3310)

Nice To Have
Familiarity with bank sweep programs
Experience conducting trade surveillance and monitoring
Trading and/or back office experience
Programming skills (e.g. SQL, Python)

**These qualifications are meant as a guideline and aren't necessarily minimum qualifications. We would love to hear from you regardless of whether you have all the qualifications listed!**

The Interview Process

The interview process for this role consists of two-rounds of interviews with key cross-functional stakeholders, with a take-home assignment between rounds. If you are successful in your first round of interviews, you will be asked to complete a take-home assignment. The take-home assignment is not timed, but should take you two to four hours to complete. If your take-home assignment is satisfactory, you will proceed to the second round of interviews.

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.

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.

Keywords: Carta, New York , Deputy CCO of Brokerage and Markets, Accounting, Auditing , New York, New York

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