Senior Corporate Counsel, Regulatory

CARTA; New York (NY); Remote; USD 216,000 - 270,000; Full time

Job summary

Join a forward-thinking company dedicated to empowering equity ownership. In this role, you will work with a dynamic legal team to navigate complex regulatory landscapes and ensure compliance across innovative financial products. Your expertise will help shape the future of equity management, as you collaborate with internal teams and regulatory agencies. This position offers a competitive salary, equity opportunities, and a chance to make a significant impact in a rapidly evolving industry. If you're passionate about legal compliance and want to drive change, this is the perfect opportunity for you.

Benefits

Equity for all full-time roles

Exceptional benefits

Market competitive salary

Commission plans for applicable roles

Qualifications

• 6+ years in-house experience at a financial institution or top law firm.
• Strong understanding of financial product laws and regulations.

Responsibilities

• Evaluate products for compliance with regulatory requirements.
• Draft and review documents for compliance and marketing.

Skills

Regulatory Compliance

Legal Writing

Communication Skills

Team Collaboration

Confidential Information Management

Education

Juris Doctor (JD)

Admission to New York or California Bar

Job description

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.

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

The Problems You'll Solve

At Carta, our employees set out on a mission to unlock the power of equity ownership for more people in more places. We believe that the problems we solve today unlock the opportunities of tomorrow. Under the supervision of the Carta Deputy General Counsel–Regulatory, you will :

• Evaluate new and existing products and services provided by Carta and its subsidiaries for compliance with the full spectrum of regulatory requirements, including but not limited to the Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934
• Draft, review and update various other documents and materials for products and services offered by Carta as transfer agent 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 our customers
• Work closely with the compliance and risk team to develop effective approaches to managing legal and regulatory risks
• Provide support as needed to the 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

The Team You'll Work With

In this role, you will be an integral member of the Carta legal team working in a small team to provide legal advice across regulatory and product work streams across Carta including issues related to the Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and tax reporting and the Investment Company Act of 1940.

About You

• Understanding of laws and regulations that apply to financial products, money movement, and related business activities
• A minimum of 6 years of working in-house experience at a financial institution (preferred) or top law firm or government agency
• 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 counterparties in a fast-paced work environment
• Admission to the New York or California Bar
• Remote candidates also considered if you do not reside within NYC and SF

At Carta, you’re not just an employee. You’re a builder who is creating infrastructure that accelerates innovation and empowers more ownership. Cartans are helpful, relentless, unconventional and kind; representing Carta’s Identity Traits. They work collaboratively and cross functionally to challenge the status quo; working towards a common goal of creating more owners in the private markets.

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 :

216,000 - $270,000 in New York and San Francisco

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 to get to know us better as you think about your next step at Carta.

Important Security Notice for Candidates

Our company has been targeted by individuals creating fake domains similar to ours to scam prospects and candidates. Please note that all official communications from us will come from an @carta.com domain . Be cautious of any requests for sensitive information or payments outside of our official channels. For more information about this type of scam, please review provided by the Federal Trade Commission (FTC). If you encounter any suspicious activity, please report it immediately to .

Awards and Acknowledgements

Companies and funds like Tribe and Pipe build their businesses on Carta. The company has been included on the , list, and . We’ve also been recognized as a , a and certified as a .

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