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Senior Corporate Counsel, Regulatory



San Francisco, CA, USA · New York, NY, USA
Posted on Thursday, March 30, 2023

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 create more owners.

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 also supports over 5,000 funds representing over $100B in assets under administration with their venture capital solutions. Carta’s liquidity solutions have returned $13B to shareholders in secondary transactions. Today Carta’s platform manages over two trillion dollars in equity for nearly two million people globally. Companies and funds like Canva, 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. and a Muse VIBE Award winner in the Vacation and Time Off category.

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

The Team You’ll Work With

At Carta, we’re building the future of equity and ownership. We’ve changed how companies, investors, and employees manage equity. Now, we’re transforming how capital markets operate. In this role, you will be an integral member of the Carta legal team with coverage of certain regulatory and product workstreams including issues related to tax reporting and operations, the Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934 and the Investment Company Act of 1940.

The Problems You’ll Solve

Under the supervision of the Carta Deputy General Counsel for Brokerage and Markets, you will:

  • Support the tax operations and reporting function 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 our customers
  • Work closely with the compliance 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

About You

  • 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
  • A minimum of 5 years working for a top law firm, government agency, or in-house experience at a financial institution
  • Admission to the New York or California Bar
  • Remote candidates also considered


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.

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