Compliance Manager (US)

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 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 manage, develop and scale our compliance program at Arta Finance Wealth Management, LLC (“AFWML”), a U.S. SEC Registered Investment Advisor (“RIA”). You will:

• Take a leadership role in implementing the compliance program at AFWML and create scalable workflows pertaining to all compliance topics
• Identify potential conflicts of interest, areas for improvement, and opportunities for increased efficiency across the compliance program and propose improvements
• Interface with internal teams in regards to all matters relating to compliance and liaise between compliance teams across all business lines at Arta
• Develop familiarity and expertise in aspects of compliance across Arta broadly, including AFWML, our Singaporean investment advisor, broker-dealer matters, and insurance among others
• Embody the culture of compliance at Arta at all times
• Report to the Chief Compliance Officer, Dave Wilkinson.
  
  

What You Will Do

• Manage implementation of all compliance policies and procedures for AFWML
• Develop and oversee testing of compliance policies and procedures at AFWML, coordinate with internal teams to identify areas of improvement, and craft enhancements to the testing regime
• Manage the compliance aspects of vendor procurement and develop a framework for ensuring ongoing due diligence is conducted
• Support compliance reviews across all products, services, and marketing activity at AFWML;
• Familiarize and educate yourself regarding regulatory changes and proposed new business lines – and suggest courses of action in response to such changes
• Organize and conduct compliance trainings on a wide spectrum of topics and develop educational resources for colleagues across Arta
• Provide timely responses to compliance related questions from Arta employees, business partners, and vendors as needed
  
  

Who You Are

• At least 5-8 years of experience in compliance roles with SEC RIAs
• 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 the financial services (for example, AI, LLMs, and Machine Learning)
• Preferably has the IACCP designation
• Must be based in the Bay Area, or you have a plan to relocate to 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
• 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