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In-House
Attorney
Corporate - Compliance
5-5 yrs required
## Senior Corporate Counsel, Regulatory Carta is a platform that helps people manage equity, build businesses, and invest in the companies of tomorrow. Carta is trusted by more than 30,000 companies and over half a million employees in nearly 150 countries to manage cap tables, compensation and valuations. Carta has been included on the Forbes World’s Best Cloud Companies, Fast Company's Most Innovative list, and Inc.’s Fastest-Growing Private Companies. The Senior Corporate Counsel, Regulatory role requires a combination of legal and regulatory expertise and the ability to distill complex legal concepts into simple, actionable recommendations. The successful candidate should have a minimum of five years working for a top law firm, government agency, or in-house experience at a financial institution, and must be admitted to the New York or California Bar. Remote candidates are also considered. **Responsibilities** - Support the tax operations and reporting functions of Carta and its subsidiaries - Evaluate new and existing products and services provided by Carta and its subsidiaries for compliance with the Advisers Act of 1940, the Investment Company Act of 1940 and related securities and state laws - Draft, review and update various other documents and materials for products and services offered by Carta as transfer agent, broker-dealer and/or other regulated businesses, including client communications and marketing materials - Work on a variety of issues centered around compliance, business development, marketing and commercialization of technology solutions and products for customers - Work closely with the compliance team to develop effective approaches to managing legal and regulatory risks - Provide support as needed to other members of the Carta legal team, and collaborate effectively with internal stakeholders and outside counsel - Assist with the coordination and collaborative interaction with regulatory agencies and handling of regulatory agencies’ inquiries and examinations **Requirements** - Understanding of laws and regulations that apply to financial products, brokerage services and transfer agent activities - Experience with the regulatory scheme surrounding private funds and private securities offerings, federal income and other US tax reporting, with experience drafting and negotiating related agreements and disclosure documentation - Experience with regulatory interpretation and new financial product development is preferred - Ability to distill complex legal concepts into simple, actionable recommendations - Ability to manage and handle sensitive and confidential information with the highest levels of integrity, ethical standards, discretion and sound judgment - Strong communication skills combined with the ability to work under tight deadlines - High level of integrity, attention to detail and excellent writing, communication and interpersonal skills - Team player, able to collaborate across various teams and levels and form strong working relationships with colleagues and counter parties in a fast-paced work environment **Compensation** 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 $212,000- $265,000 in San Francisco, CA, and New York, NY. Final offers may vary from the amount listed based on geography, candidate experience and expertise, and other factors. ## Summary Carta is a platform that helps people manage equity, build businesses, and invest in the companies of tomorrow. Carta is trusted by more than 30,000 companies and over half a million employees in nearly 150 countries to manage cap tables, compensation, and valuations. Carta has been included on the Forbes World’s Best Cloud Companies, Fast Company's Most Innovative list, and Inc.’s Fastest-Growing Private Companies. The company is looking for a Senior Corporate Counsel, Regulatory to join their legal team. This role requires a combination of legal and regulatory expertise and the ability to distill complex legal concepts into simple, actionable recommendations. The successful candidate should have a minimum of five years working for a top law firm, government agency, or in-house experience at a financial institution, and must be admitted to the New York or California Bar. Remote candidates are also considered. The responsibilities of this role include supporting the tax operations and reporting functions of Carta and its subsidiaries, evaluating new and existing products and services for compliance with the Advisers Act of 1940, the Investment Company Act of 1940 and related securities and state laws, drafting, reviewing and updating documents, working on a variety of issues centered around compliance, business development, marketing and commercialization of technology solutions and products for customers, working closely with the compliance team to develop effective approaches to managing legal and regulatory risks, providing support to other members of the Carta legal team, and assisting with the coordination and interaction with regulatory agencies. The successful candidate must have an understanding of laws and regulations that apply to financial products, brokerage services and transfer agent activities, experience with the regulatory scheme surrounding private funds and private securities offerings, federal income and other US tax reporting, experience with regulatory interpretation and new financial product development, the ability to distill complex legal concepts into simple, actionable recommendations, the ability to manage and handle sensitive and confidential information, strong communication skills, a high level of integrity, attention to detail, excellent writing, communication, and interpersonal skills, and the ability to collaborate across various teams and levels. Carta offers a competitive compensation package, including a market competitive salary, equity for all full time roles, exceptional benefits, and, for applicable roles, commissions plans. The minimum cash compensation (salary + commission if applicable) range for this role is $212,000- $265,000 in
Qualification and Experience
5 years working for a top law firm, government agency, or in-house experience at a financial institution and admission to the New York or California Bar
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