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Senior Compliance Manager

Arta Finance

Arta Finance

Legal
United States
Posted on Thursday, January 18, 2024

The Company

Arta is on an audacious and incredibly rewarding mission: to pave the way for people everywhere to lead more successful financial lives. We value trust, teamwork, and adaptability.

The Team

The Compliance team at Arta is looking for a senior compliance manager who is passionate about tackling regulatory issues in a collaborative way and building a strong culture of compliance. As an early-stage compliance team member, you’ll help build and implement the compliance program at Arta. Come join a solutions based compliance team that values teamwork, innovation, and communication.

Your Role

You’ll help build and lead our compliance program across all business lines, in particular regarding Arta Finance Wealth Management, LLC (“AFWML”), a U.S. SEC Registered Investment Advisor (“RIA”)

  • Take a leadership role in building out the compliance program at AFWML and lead implementation of the program;

  • Coordinate with internal and external stakeholders in regards to regulatory requirements and best practices;

  • Interface with internal teams in regards to all matters relating to compliance – in particular with the marketing, product management, member success, and research teams;

  • Develop familiarity and expertise in aspects of compliance across Arta broadly, including the U.S.-based registered investment advisor, foreign regulatory matters, broker-dealer matters, and insurance among others; and

  • Embody the culture of compliance at Arta at all times.

  • Report to the Head of Compliance, Dave Wilkinson

What You Will Do

  • Develop, implement, and refine policies and procedures for AFWML across all topics relating to compliance;

  • Be a thought partner to all teams across Arta and facilitate solutions to regulatory considerations across business lines;

  • Assist in developing the overall compliance program at Arta and participate in strategic decision making relating to compliance matters;

  • Familiarize and educate yourself with regards to regulatory matters across all business lines at Arta;

  • Conduct primary research regarding regulatory changes and proposed new business lines – and suggest courses of action in response to such changes;

  • Develop educational materials for colleagues and lead compliance trainings on regulatory matters and best practices;

  • Oversee compliance onboarding of new employees and offboarding of departing employees; and

  • Provide timely responses to compliance related questions from Arta employees, business partners, and vendors as needed.

Who You Are

  • At least 8-10 years of experience in compliance roles, preferably with SEC RIAs and/or Fintechs;

  • Deep knowledge of SEC rules and regulations and associated laws (1940 Investment Advisers Act in particular). Familiarity with FINRA rules and regulations is a plus;

  • Able to manage multiple projects simultaneously and pivot quickly as priorities change;

  • Demonstrate excellent communication skills (written and verbal);

  • Willing to do whatever work is necessary;

  • Self-sufficient and approach your work proactively – Arta is a fast-paced startup and you need to keep up;

  • Have a general familiarity with technical concepts and their application in financial services (for example, AI, LLMs, and Machine Learning)

  • Preferably has the IACCP designation; and

  • Preferably based in the Bay Area.

What We Offer

  • Training and internal education in finance, investment and trading

  • We have a robust health insurance offering for you and your family

  • High deductible health plan available with health savings account contribution

  • Complimentary One Medical membership for individuals and dependents

  • 20 weeks of parental leave

  • 15 days PTO annually plus national and company holidays

Arta's Compensation Philosophy

We determine your level based on factors including your interview performance, job-related skills, experience, and relevant education or training. Our offers are based on salary bands that are updated periodically using market benchmarks and consider geographic location as well (for example, higher cost regions like San Francisco or New York). If you are presented with an offer, we will review the base salary, benefits, number of options, notional option value and strike price. We would like to know if you accept our offer within 7 days.

Please keep in mind that the equity portion of your offer is not included in these numbers and represents a significant part of your total compensation.

IC I: $110,000-$180,000
IC II: $160,000-$230,000
IC III: $180,000-$300,000