Rachel Sapers

VP, Chief Compliance Officer at Carta

Rachel Sapers is currently the VP, Chief Compliance Officer at Carta. Rachel has over 10 years of experience in financial compliance and trade surveillance.

Rachel started their career in financial compliance at E*TRADE in 2008. Rachel was promoted to Vice President, AML in 2016 and was responsible for AML integration strategy for OptionsHouse. In this role, they led the CIP oversight committee and the plan and technology project for compliance with FinCEN’s Customer Due Diligence rule.

In 2017, Rachel left E*TRADE to join Guidehouse as an Associate Director. In this role, they helped clients with gap analyses, compliance program reviews, risk assessments, remediation efforts and enhancement implementation. Rachel also evaluated internal control structures to help identify weaknesses and associated risks in NYDFS Part 504, USA PATRIOT Act Section 312, Customer Due Diligence and overall BSA/AML and OFAC Sanctions programs.

Rachel joined Carta as the VP, Chief Compliance Officer in 2020. In this role, they are responsible for leading the compliance function and developing compliance strategies across the company.

Rachel Sapers has a BA from Bryn Mawr College in Rachel'story and an MS from Baruch College in Finance. Rachel also has a certification from the Financial Industry Regulatory Authority (FINRA) in Series 7.

Rachel Sapers reports to Joseph DiGiglio, Chief Compliance Officer.

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Timeline

  • VP, Chief Compliance Officer

    June, 2020 - present

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