Compliance Associate (US)

The Company

Arta is on an audacious and incredibly rewarding mission: to pave the way for people everywhere to lead more successful financial lives. We value trust, teamwork, and adaptability.

The Team

The Compliance team at Arta is looking for a compliance manager who is passionate about tackling regulatory issues in a collaborative way and building a strong culture of compliance. As an early-stage compliance team member, you’ll help build and implement the compliance program at Arta. Come join a solutions based compliance team that values teamwork, innovation, and communication.

Your Role

You’ll help administer and refine our compliance program at Arta Finance Wealth Management, LLC (“AFWML”), a U.S. SEC Registered Investment Advisor (“RIA”). You will:

• Assist with monitoring of, and developing enhancements to, the compliance program at AFWML;

• Coordinate between the compliance team and other internal teams as it relates to administering the compliance program;

• Ensure proper documentation and organization of all compliance files and workflows;

• Assist with new compliance initiatives and strategic projects, as well as provide compliance teammates support on all compliance matters as needed

• Develop familiarity and expertise in all aspects of compliance across all teams at AFWML

• Embody the culture of compliance at Arta at all times

• Report to the Chief Compliance Officer, Dave Wilkinson

What You Will Do

• Manage the day-to-day compliance program for AFWML including oversight of our code of ethics reporting, books and records obligations, compliance vendor management, and supporting all internal teams with regards to compliance matters

• Facilitate proactive and clear communication between the compliance team and all other teams across Arta

• Lead compliance onboarding of new employees and offboarding of departing employees

• Dynamically respond to provide support to compliance team members as needed

• Assist in the testing of all compliance policies and procedures at Arta and suggest enhancements to the testing regime

• Support in developing the overall compliance program at Arta and recommend opportunities for improvement

• Provide timely responses to compliance related questions from Arta employees, business partners, and vendors as needed

Who You Are

• At least 2-5 years of experience in compliance roles, preferably with SEC RIAs and/or Fintechs

• Knowledge of SEC rules and regulations and associated laws (1940 Investment Advisers Act in particular), and seek to deepen your understanding of applicable regulations and laws

• Willing to do whatever work is necessary

• Self-sufficient and approach your work proactively – Arta is a fast-paced startup and you need to keep up

• Demonstrate excellent communication skills (written and verbal)

• Have a general familiarity with technical concepts and their application in the financial services (for example, AI, LLMs, and Machine Learning) and/or a willingness to learn more

• Preferably has the IACCP designation (or is open to obtaining)

• Must be based in the Bay Area,  or you have a plan to relocate to the Bay area

What We Offer

• Training and internal education in finance, investment and trading

• We have a robust health insurance offering for you and your family

• High deductible health plan available with health savings account contribution

• 20 weeks of parental leave

• 15 days PTO annually plus national and company holidays

Arta's Compensation Philosophy

We determine your level based on factors including your interview performance, job-related skills, experience, and relevant education or training. Our offers are based on salary bands that are updated periodically using market benchmarks and consider geographic location as well (for example, higher cost regions like San Francisco or New York). If you are presented with an offer, we will review the base salary, benefits, number of options, notional option value and strike price. We would like to know if you accept our offer within 7 days.

Please keep in mind that the equity portion of your offer is not included in these numbers and represents a significant part of your total compensation.

IC I: $110,000-$180,000

IC II: $160,000-$230,000