Internal Auditor

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. We are seeking an experienced internal auditor to help identify risk and test controls in place to manage the risk across a diverse organization. We are a fast-paced growing company that values dynamic thinkers and innovative problem solvers. If you are up to an exciting challenge and ready to become a critical ally in our organization, we'd love to speak with you! In this role, reporting to the Director of Internal Audit, you will work with Senior Management to identify and assess risk areas within the organization, develop and execute test plans to verify adherence to control procedures and processes, and track corrective action required to address any identified gaps or weaknesses. Key areas of the organization that are in scope include business operations, the FINRA registered broker dealer, SEC registered Transfer Agents, Info Security, and Corporate Functions. The position can be located in San Francisco, NY/NJ, or Salt Lake City. Travel (up to 15%) will be required.

Responsibilities:

• Identify control weaknesses and areas to improve operational efficiency
• Develop and execute control test plansInterview process owners at various levels to document and assess areas
• Analyze processes and report issues
• Provide recommendations that improve operational effectiveness
• Record and track the progress of remedial actions for identified gaps and weaknesses
• Assist the Director of Internal Audit on reporting and ad hoc requests

Qualifications:

• Four year degree in business, finance, or equivalent
• Excellent written and verbal communications skills; process flow skills
• Ability to work independently with minimal supervision
• Ability to identify risks and to analyze control issues
• Able to obtain and review information in a paperless environment
• 3-5+ years prior experience in Audit, Compliance, or Risk Management

Nice-to-haves:

• Knowledge of COSO or related Risk Control Frameworks
• CPA, CISA, CIA and/or Master degree or equivalent
• Some project management experience
• Financial Services experience

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