Description:

The Problems You'll Solve
At A Palo Alto Based Technology Company, 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 A Palo Alto Based Technology Company 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 A Palo Alto Based Technology Company 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 A Palo Alto Based Technology Company 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 A Palo Alto Based Technology Company legal team working in a small team to provide legal advice across regulatory and product work streams across A Palo Alto Based Technology Company 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 A Palo Alto Based Technology Company, 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 A Palo Alto Based Technology Company'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.