Darrell Kazak
- Role
- Director, Compliance at Carta
- Location
- San Francisco, CA, US
- LinkedIn followers
- 500 followers
About Darrell Kazak
Management Experience: Seasoned Leader, Coach, and developer of top notch…
Experience
Director, Compliance
Jul 2022 — Present
Hold multiple roles within the Carta Inc. family of Companies: o Chief Compliance Officer of Vauban Advisors, LLC US;(RIA and ERA Compliance) o Director, Compliance for Carta Inc.(BSA/AML, OFAC, Fraud, Monitoring, and Testing) Key Accomplishments: Established Banking as a Service (BaaS) & KYC as a Serice (KaaS) customer facing products Built out a team of BSA, Sanctions, Fraud, Payments, and Vendor Risk Management subject matter experts. Developed firm-wide Broker Dealer Payments Monitoring and Control Strategy Established AML and Sanctions Risk Assessment Methodology for the Carta Capital Markets, Carta Securities, Carta Investor Services, and Carta Inc Transfer Agent (TA) Entities Established Carta Capital Markets Transaction, Payments, and Surveillance Monitoring Program Developed and implemented Customer Due Diligence (CDD) and Ongoing Monitoring firm-wide Program- to include a Quality Assurance and Independent Testing unit. Developed Customer and Entity Customer and Profile Risk Model(s) Established Enterprise Anti-Fraud Policy and Program Established AML Vendor Risk Management Model and Program Enhanced Issue Management and Regulatory response Program
Education
Concordia University - WI
Bachelor of Social Work, Social Work, Business
1996 — 2000
Find verified contacts for anyone on LinkedIn
Unifers gives sales teams verified emails and direct dials, enriched profiles, and outreach that lands in the inbox.
Free plan included · No credit card required
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.