Senior Compliance Manager, Arta Finance
$110-300k
+ Equity. Salary dependent on location
Consumer finance & wealth management platform
Job no longer available
Consumer finance & wealth management platform
101-200 employees
Job no longer available
$110-300k
+ Equity. Salary dependent on location
101-200 employees
Company mission
To help people enjoy more successful financial lives, to build the future they want.
Role
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 the job involves
- 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
- 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
Our take
The “family office” is a financial management team that takes care of investments, family finances and growing wealth. Traditionally, this has been off-limits to everyone except the super-rich. However, Arta Finance believes it can leverage big data, AI, and fintech to bring these services to the masses.
Though there is no shortage of financial management and investment platforms out there, Arta is offering something a little different with its AI-managed portfolios. These stand out because of the use of user data and input to personalize the choices of stock purchases and other decisions.
Arta emerged from stealth in the fall of 2022 with a substantial funding round and has since pursued speedy growth. In 2023, its digital family office platform opened to all qualified investors in the US, and in 2025, it expanded access to Arta AI to global wealth advisors and managers.
Freddie
Company Specialist at Welcome to the Jungle
Insights
66% employee growth in 12 months
Company
Funding (1 round)
Nov 2022
$90m
SERIES A
Total funding: $90m
Company benefits
- 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
- Remote-work friendly
Company HQ
Old Mountain View, Mountain View, CA
Leadership
Charles Dong
(Co-Founder & Product)Spent five years at Google as PM Lead & Head of Growth for Tez and GPay, following a two year spell as Product Manager at Box.
David Shapiro
(Co-Founder)Spent 15 years as Vice President at American Express before joining Google for 12 years, serving as Chief Business Officer of the Next Billion Users initiative, and Global Director of Chrome OS and Android Marketing.
Edward Chiang
(Co-Founder & Product)Spent 12 years as a Director of Product Management at Google in California then Singapore.
Felix Lin
(Co-Founder & CEO)Former CEO of PickPackGo and Qurb, Inc. Spent 12 years at Google as VP of Payment Ecosystems and VP, Product Management for Chrome OS.
Zelidrag Hornung
(Co-Founder & CTO)Former Software Design Engineer Lead at Microsoft, later spending 13 years at Google as a Senior Director of Engineering.
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