Compliance Officer

Carta • New York, NY

4h • $115,000 - $130,000

About The Position

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. As a Compliance Officer, you’ll work to:
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.

Requirements

• 3 years or more of experience in a compliance role at a bank or fintech company
• 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 Haves

• Experience with Alloy, or any other regulatory compliance screening platforms
• Experience in Jira and comfortable in using Slack
• Client facing experience

Responsibilities

• 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.

Benefits

• Carta’s compensation package includes a market competitive salary, equity for all full time roles, exceptional benefits, and, for applicable roles, commissions plans.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed