Head of of Issuer Services (Wantagh)

  • Wantagh, NY


: $131,750.00 - $157,490.00 /year *

Employment Type

: Full-Time


: Financial Services - Banking/Investment/Finance

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At Carta, our mission is to create more owners. By building an ownership management platform, were changing how over 12,000 companies, and more than 800,000 investors, law firms, and employees manage equity around the globe. Now, were building a new team to reimagine liquidity for our customers. The Liquidity team is looking for creative problem solvers to work on a greenfield initiative to build a marketplace for private securities, CartaX. As the Head of Issuer Services on the Liquidity team at Carta, youll be responsible for influencing products and services for and engaging with issuers on CartaX, an issuer centric electronic trading platform offering tailored liquidity programs for privately held companies, funds, and other fractional assets. Specifically, you will be responsible for designing initial and continued liquidity standards, and making issuers aware of their eligibility for various liquidity offerings. You will also be responsible for facilitating the initial application and onboarding process, as well as facilitating any ongoing issuer benefits and/or obligations applicable under the CartaX liquidity standards. We are looking for an individual experienced in corporate governance and Exchange regulation that is results-oriented and self-motivated. The ideal candidate understands and can support our efforts to promote transparency and efficiency, encourage a more free and open market, and protect investors and the public interest in the context of private securities. The individual in this position will serve as the primary point of contact for CartaX issuers and their representatives, including management, financial advisors, outside counsel, and auditors in the context of advising, interpreting, and applying the CartaX liquidity tiers. The individual will work within a dynamic and cohesive team that spans across product, business, compliance, and technology. Responsibilities Help design and subsequently provide guidance and interpretation of CartaXs initial and continued liquidity standards. Review and analyze transactions for compliance with the shareholder approval rules and process supplemental liquidity applications. Review and analyze periodic disclosures and other documents filed with Carta pursuant to the quantitative and qualitative initial and continued CartaX liquidity standards. Manage issuers as needed: communicate with internal and external senior management; prepare and present recommendations to CartaX senior leadership regarding issuer services; coordinate with corporate communications, operations, and client services. Maintain organized and complete documentation regarding all issuer contacts and communications for regulatory and internal audit inspection. Qualifications Working knowledge of accounting/financial statement analysis, general financial markets, and the securities industry Working knowledge of general corporation laws, including corporate governance Understanding of the initial and continued listing standards of national security exchanges, as well as working knowledge of Regulation SX and SK. Ability to work independently and function effectively in a high-volume, rapid-pace, deadline-oriented, multi-task environment Ability to review and process large amounts of information in a short timeframe Excellent analytical, critical thinking, and follow-up skills Excellent attention to detail Excellent written and verbal communication skills Ability to effectively interface with senior management of CartaX, as well as with senior representatives of issuers Nice to haves Legal degree Chartered Public Accountant or Chartered Financial Analyst Carta is creating the ownership network that maps the world's assets. Check out who we are and how we work here. At Carta we want to create an environment for Carta's owners - you - to do your best work, by offering competitive benefits and perks:
Associated topics: business analytic, consult, examiner, financial analytic, government, inspect, investment fund, legal, monitor, refinement

* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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