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17 Oct
Brokerage Operations Specialist, CartaX
California,

The Company You'll Join


We live in a world where some people live on the equity stack and enjoy exponential wealth growth and preferential tax treatment; others live on the debt stack and may work their entire lives for a company and retire only with the cash they've managed to save from their paychecks. Our contribution to solving the wealth inequality problem is moving people from the debt stack (payroll) to the equity stack. By making it as easy to issue equity to employees as it is to put them on payroll, we can create more owners.


At Carta, we are helpful, transparent, fair, and kind. We are relentless executors, unconventional thinkers, and masters of our craft.


To learn more, here is what one of our investors wrote about leading our Series F.


The Team You'll Work With


You will be joining our newest vertical at Carta called CartaX. The CartaX team is creating more owners by removing restrictions on when and how employees exercise equity. Our team is building a greenfield marketplace that will allow the trading of shares in return for liquidity for employees of pre-IPO companies. CartaX will be the world's first vertically integrated financial marketplace for private securities.


The Problems You'll Solve


In this role you will:


Build an in-house operations team responsible for trading support, clearing, settlement, custody, and middle office operations for equities and other asset classes that launch in the future.



  • We are looking for an individual with extensive operations experience that is results-oriented, self-motivated and has the ability to thrive in a fast-paced, high pressure environment.

  • The ideal candidate must be able to work closely and professionally with all teams at Carta.


The Impact You'll Have


As a Brokerage Operations Specialist on the Liquidity team at Carta, you'll be responsible for operations across the brokerage functions at Carta. Initially, you will be responsible for brokerage operations at Carta Capital Markets, the broker-dealer that will operate CartaX, an issuer centric electronic trading platform offering tailored liquidity solutions for privately held companies, funds, and other fractional assets. You will be responsible for supporting our retail and institutional customers' needs as they transact on CartaX from onboarding, through transactions, and ultimately to settlement.



  • Provide streamlined operational support for customer onboarding, trade support, internal and external incident escalation and management, and money movement and post-trade operations

  • Investigate and resolve money movement exceptions particularly for journal, wire, and ACH transactions

  • Build and manage a framework for trade, cash balance, securities reconciliation, as well as start-up and shut-down processes

  • Serve as a technical product expert for the management of regulatory and compliance issues and inquiries from the SEC and FINRA regarding system outages, recovery procedures, customer communications, and follow-up risk mitigation strategies

  • Engage with all customers to disseminate/collect enhancement requests, open issues, industry knowledge, and business updates

  • Coordinate and lead customer education efforts for modifications to the platform

  • Assist in the administration of institutional investor orientation

  • Provide daily support for customer usage of execution algorithms, once offered


About You



  • Minimum 7 years of experience in financial markets, series 7 and 24 preferred

  • Experience with international and domestic ACH and wire transactions

  • Experience with both institutional and retail accounts

  • Experience with algorithmic systems and automated trading workflows

  • Experience providing leadership and oversight for day-to-day operations

  • Strong communication and interpersonal skills, both written and verbal

  • Collaborative nature with strong intellectual curiosity

  • Ability to solve problems in high pressure, time-sensitive, and demanding situations

  • Committed to the highest levels of integrity, ethics, and professionalism

  • Nice to haves - Series 63, Experience at a retail brokerage firm


We are an equal opportunity employer and are committed to providing a positive interview experience for every candidate. If accommodations due to a disability or medical condition are needed, connect with us via email at recruiting@carta.com. 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.


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