Compliance Officer I - job 1 of 2

As a Compliance Officer I at Carta, your primary responsibilities include conducting KYC and AML reviews, performing screenings of Limited Partners’ information, ensuring adherence to due diligence policies, and managing client relationships throughout the compliance process. This role also involves collaborating across departments to enhance compliance initiatives and address regulatory audits.

To qualify for the Compliance Officer I position at Carta, candidates should have at least 4 years of experience in risk and compliance, strong analytical skills, and a good understanding of AML, KYC, and sanctions. Excellent written and verbal communication skills and the ability to handle sensitive information are also crucial.

The Compliance Officer I plays a critical role in maintaining Carta’s reputation as a trusted partner in financial services by ensuring compliance with regulatory standards. By proactively identifying compliance risks and developing solutions, you will help Carta navigate the evolving regulatory landscape and enhance client trust.

Essential skills for a Compliance Officer I at Carta include strong attention to detail, problem-solving abilities, and a proactive approach to compliance challenges. Being able to work cross-functionally, communicate effectively, and embrace process enhancements are also vital in fostering successful relationships and achieving compliance objectives.

The salary range for the Compliance Officer I position at Carta in New York City is between $110,000 to $130,000. This market-competitive compensation package also includes equity for full-time roles and exceptional benefits, contributing to an attractive overall offer.

When answering this question, detail your specific experiences with KYC and AML, highlighting any tools or systems you've used. Explain the rationale behind your processes and how your actions led to successful compliance outcomes.

Discuss the resources you use to keep informed about changes in compliance regulations, such as industry publications, webinars, and networking. Sharing your proactive approach to education in this area shows you’re committed to continuous improvement.

Frame your answer by detailing the context of the issue, the steps you took to research and address it, and the successful resolution. Focus on your analytical skills and your ability to work collaboratively to find a solution.

Explain your method for prioritizing tasks, such as assessing deadlines, stakeholder impact, and risk levels. Providing a clear rationale demonstrates your organizational skills and ability to manage workload effectively.

Share specific technologies you have experience with, such as compliance screening software or project management tools, and explain how you have utilized these tools to enhance efficiency in your compliance efforts.

Discuss your understanding of privacy standards and your approach to data handling. Emphasize the importance of confidentiality and detail any protocols you follow to ensure data protection.

Provide an insightful perspective on current compliance trends, such as evolving regulations or new technologies. Articulating your awareness shows your engagement with the industry landscape and your commitment to addressing these challenges.

Demonstrate your professionalism by explaining that you would seek to understand the reasoning behind the decision first. Discuss how you would diplomatically present your concerns while emphasizing your commitment to collaborative solutions.

Articulate how effective compliance fosters transparency and accountability, helping to build strong relationships with clients. Discuss your beliefs on how compliance enhances a company’s reputation in the market.

Express your admiration for Carta's mission and values, and explain how your skills and experiences align with their objectives. Show enthusiasm for being part of a team that prioritizes innovation and challenges the status quo in the financial world.