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Associate General Counsel, Brokerage and Markets


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Job Details

Location: New York, New York, 10007, USA Posted: Jan 15, 2020

Job Description

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. Our goal is to create more owners and increase transparency and liquidity for shareholders. More than 800,000 investors, law firms, and employees use our platform, and we manage over $575B in equity. In this role, you will be an integral member of the Carta legal team. You will be the primary legal adviser for the Carta Capital Markets (“CCMX”) team, responsible for providing legal and regulatory guidance and support for the implementation of the team’s business plan. CCMX will be a new broker-dealer, subject to FINRA and SEC regulation, and will run an ATS that provides a secondary market for private securities. The ideal candidate will have a high level of integrity, attention to detail and excellent writing, communication and interpersonal skills. Additionally, this candidate will have extensive experience with broker-dealer regulation, Reg ATS, market structure and trading rules, as well as some corporate legal experience, especially in connection with regulations relating to private securities issuance and trading and drafting of agreements and documents in connection with products and services offerings. This position will be located in New York, New York, with occasional travel.


    • Work hand in hand with CCMX leadership to build, review and implement the legal and regulatory framework for the business line, including the optimization of exemption and disclosure frameworks
    • Draft, review and update agreements, documents and materials for products and services offered by CCMX
    • Help build scalable and effective processes to launch new products, new business initiatives, or expand existing businesses into new market centers
    • Work on a wide variety of issues centered around compliance, business development, marketing and commercialization of CCMX technology solutions and products
    • Develop creative approaches to managing legal and regulatory risks and resolving disputes
    • Supervise external consultants and legal advisors as necessary to support business and regulatory initiatives
    • Provide support as needed to the other members of the Carta legal team, and collaborate effectively with external counsel, on projects such as litigation, M&A, technology transactions, and intellectual property
    • Support business leads, compliance, government relations and other CCMX teams to ensure strong coordination and collaborative interaction with regulatory agencies
    • Assist in the formulation of regulatory agency examination responses


    • Experience advising and supporting senior and middle management teams
    • Five to ten years working for a top law firm, government agency, or in-house experience at a financial institution
    • Admission to the New York Bar
    • Deep understanding of laws and regulations that apply to financial products, brokerage services, and laws relating to the commercialization of technology solutions
    • Experience drafting and negotiating commercial contracts
    • A passion to innovate and change the way the world of finance works using new, groundbreaking technology solutions
    • Strong communication skills combined with the ability to work under tight deadlines
    • The judgment and the courage to make good decisions when faced with ambiguity and risk
    • Excellent attention to detail and organizational skills
    • Excellent analytical, oral/written communication, and interpersonal skills, with a demonstrated record of cross-functional collaboration, being a team player and forming strong working relationships with colleagues and clients in a fast-paced work environment
    • 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
    • Extensive experience with broker-dealer regulation and ideally Reg ATS
    • Experience with the regulatory scheme surrounding private securities issuance and trading
Carta is a Series E company and is backed by top-tier VCs like Andreessen Horowitz, Lightspeed Venture Partners, Meritech Capital, and more. We are an equal opportunity employer. As a company, we value fairness, helpfulness, transparency, leadership and build our teams around these values. Check out our careers page to get to know us better as you think about your next step at Carta. Please read about our candidate privacy policy here . Apply for this job

About Carta

Carta is building a global ownership management platform to help companies, investors, and employees manage their equity.

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