Compliance, Conducting Officer

The Company You'll Join

Carta is a platform that helps people manage equity, build businesses, and invest in the companies of tomorrow. Our mission is to unlock the power of equity ownership for more people in more places.

Carta is trusted by more than 40,000 companies and over two million people in nearly 160 countries to manage cap tables, compensation, and valuations. Carta also supports nearly 7,000 funds and SPVs, and represents nearly $130B in assets under administration. Carta's tender offer solutions have returned $14B to shareholders in secondary transactions. Today, Carta's platform manages nearly three trillion dollars in equity globally.

For more information about our offices and culture, check out our Carta careers page.

• Be responsible for all compliance issues in Luxembourg, with a focus on compliance matters concerning the UCI administration and domiciliation and corporate services functions
• Run point on the management of the institution in the compliance function and be empowered to effectively direct the business, but also that of the managers of the various business functions (i.e. key functions) of the institution
• Supervise the registrar function of the UCI administration business, ensuring the maintenance of the UCI's unit/shareholder register
• Deliver the Compliance Risk Management framework
• Act as main point of contact with the Luxembourg regulator and with the Global compliance team on compliance reporting issues
• Monitor and advise the business on local and broader European regulatory developments
• Provide advice and training on compliance matters locally to new joiners and existing colleagues to ensure a compliance culture
• Ensure all internal policies and procedures adhere to regulations, legislation and group policies and respond proactively to impending changes in the regulatory environment
• Implement group wide risk and compliance initiatives
• Carrying out compliance assessments of the AML/CFT risk exposure and the ongoing monitoring of delegates and other business relationships
• Correspondence and reporting with local authorities, various regulatory agencies, internal auditor and senior management on AML and compliance related matters
• Identification and assessment of the compliance risks to which the company is exposed, including the identification and assessment of risks related to new products, services, and other activities
• Maintaining and updating the Compliance Monitoring plan, and conducting regular assessments of the effectiveness of the controls, and issuing recommendations for enhancements
• Maintaining the relevant compliance registers, data trackers, and monitoring tools
• Monitoring and updating existing KYC files and assessment of ongoing ones
• Monitoring, updating, and developing compliance policies and procedures in accordance with the local regulatory requirements
• Evaluation of the regulatory changes impacting contractual ,infrastructure if applicable
• Provide guidance, and if necessary training, to other colleagues on AML and KYC related matters and governance topics
• Act as an authorised signatory of the Professional of the Financial Sector entity and potentially act as director of Luxembourg intra-group entities

• Must be permanently on site in Luxembourg
• Significant experience in a similar role, with ideally prior authorisation as a Compliance Officer and excellent knowledge of alternative fund structures
• Able to operate at the most senior level with true compliance expertise
• A commercial approach balanced with compliance demands
• Detail oriented, driven to get results and able to meet deadlines
• Excellent communication skills, with strong professional English language capability