Job details

Compliance Officer I

The Company You’ll Join

Carta is a platform that helps people manage equity, build businesses, and invest in the companies of tomorrow. Our mission is to unlock the power of equity ownership for more people in more places.

Carta is trusted by more than 40,000 companies and over two million people in nearly 160 countries to manage cap tables, compensation, and valuations. Carta also supports nearly 7,000 funds and SPVs, and represents nearly $130B in assets under administration. Carta's tender offer solutions have returned $14B to shareholders in secondary transactions. Today, Carta’s platform manages nearly three trillion dollars in equity globally.

Companies and funds like Tribe and Pipe build their businesses on Carta. The company has been included on the Forbes World’s Best Cloud Companies, Fast Company's Most Innovative list, and Inc.’s Fastest-Growing Private Companies. We’ve also been recognized as a 2023 Built In Best Place to Work in the U.S., a Muse VIBE Award winner in the Vacation and Time Off category and certified as a Great Place to Work.

For more information about our offices and culture, check out our Carta careers page.

The Team You’ll Work With

The Anti-Money Laundering (AML) team works across all of Carta to design and implement meaningful Enterprise-wide AML, Know-Your-Customer (KYC), and sanctions compliance programs. We are a roll-up-your-sleeves, proactive group, identifying problems before they happen and covering the potential blindspots of our rapidly growing organization. We partner with our colleagues to develop and enhance compliance initiatives to make sure Carta is safe, secure and meets our obligations under applicable laws, rules, and regulations.

In addition to core duties performed as a member of the AML team, this role will involve coordination with others in the Legal & Compliance (L&C) division who cover matters related to Fund administration & Investor Services. As needed, this role will also require collaboration with those on Carta’s Product, Engineer, Investor Services ,Fund Admin, Implementation, Marketing, InfoSec, and Policy teams.

The Problems You’ll Solve

Carta’s business has grown rapidly since we entered the market in 2012. In order to support our increasingly complex business model and diverse suite of products and services, we need to build a scalable control environment. Because Carta is a trusted partner in so many vital areas of financial services, we also need to serve as a compliance advocate and resource for the communities we serve. As an individual contributor in this role, you will:

Conduct multi-faceted KYC AML reviews and investigations assigned from multiple sources and teams, client outreach applicable to AML Onboarding
Perform Politically Exposed Person (PEP), Adverse Media, and Sanction List screening on Limited Partners information on subscription and KYC documents and generate reports of findings. Collect LP information from clients if needed.
Ensure Due Diligence policies are being followed according to defined KYC as a service or AML Onboarding desktop procedures.
Identify and assess KYC as a service clients’ needs lead to client satisfaction.
Handle client relationships from the point of sales handoff through report delivery. Given the nature of this product, adapt and resolve issues as they arise.
Participate in projects to improve processes, address regulatory/audit requests and enhance the broader Enterprise AML program.
Manage an assigned queue of diverse AML evaluations with time sensitive implications.

The Impact You'll Have

Contribute to Carta’s success by ensuring it remains secured against regulatory and financial crime risks as it grows and expands.
Transform Carta into a global leader in AML, KYC, and sanctions compliance for the private markets and beyond.
Create innovative solutions to emerging compliance challenges faced by Carta and its clients.
Represent the Carta AML Team internally as a fundamental part of project success and works with Cartans to effectively meet goals and objectives, rather than acting as a gatekeeper.
Participate in two diverse process flows key to Carta’s success:

AML Onboarding
KYC as a Service

About You

You are a curious, ambitious, and creative risk and compliance professional with 4+ years of experience who is able to:

Work cross-functionally, building relationships and consensus with key stakeholders across Carta
Create persuasive presentations and comprehensive documents
Embrace process changes/enhancements and effectively provide feedback for further enhancement
Focus on detail across a wide variety of projects
Great written and verbal communication
Ability to solve problems and work independently
Understand the AML, KYC, and sanctions risks within the context of the business and objectives of Carta
Solve problems diplomatically and understand which problems need to be escalated
Apply a future-oriented, global perspective to the risk and compliance landscape
Understanding of USA PATRIOT Act, Customer Due Diligence (CDD) Rule, and OFAC sanctions
Experience in conducting in-depth Anti-Money Laundering risk reviews to include Enhanced Due Diligence (EDD), as applicable
Experience with and sensitivity to working with sensitive personal/company information for both Carta and its clients
Nice to have
- Experience with Alloy, or any other regulatory compliance screening platforms
- Experience in Jira and comfortable in using Slack.

Salary

Carta’s compensation package includes a market competitive salary, equity for all full time roles, exceptional benefits, and, for applicable roles, commissions plans. Our minimum cash compensation (salary + commission if applicable) range for this role is:

$113,050 - $133,000 in San Francisco and New York City

Final offers may vary from the amount listed based on geography, candidate experience and expertise, and other factors.

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, please connect with the recruiter via email. 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.

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