The Problems You’ll Solve

At Carta, our employees set out on a mission to unlock the power of equity ownership for more people in more places. We believe that the problems we solve today unlock the opportunities of tomorrow.

Expanding into Luxembourg is a Key Part Of Carta’s Broader Global Expansion Strategy. For Carta Lux Sàrl, whose ‘Specialised PFS’ licence is currently pending CSSF approval, we are looking to bring in a Compliance Officer & RC. Reporting to the Head of Compliance & RR in Luxembourg, you will be in charge of the control and oversight of compliance with professional obligations, and will assist the business in meeting any reporting obligations and duties.

As our Compliance Officer & RC permanently based in Luxembourg, you’ll:

• Be responsible for compliance issues in Luxembourg, with a focus on compliance matters concerning the UCI administration, as well as domiciliation and corporate services functions
• Monitor the activities of the Registrar & TA function
• Contribute to set up the Compliance Risk Management framework
• Act as a 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
• Report to the RR and the board of directors on compliance/AML matters
• Provide advice and training on compliance matters 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
• Carry out compliance assessments of the AML/CFT risk exposure and the ongoing monitoring of delegates and other business relationships
• Correspondence and reporting on compliance related matters with internal auditors, senior management and réviseurs d'entreprises agréés
• 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
• Maintain and update the Compliance Monitoring plan, and conduct regular assessments of the effectiveness of the controls
• Maintain the relevant compliance registers, data trackers, and monitoring tools
• Conduct ongoing due diligence by monitoring and updating existing KYC files
• Evaluate the regulatory changes impacting the fund administration business
• Provide guidance to other colleagues on AML/KYC related matters and act as an escalation point in case of red flags/higher risk factors

About You

• Hold a degree in Finance or Law
• Must be permanently on-site in Luxembourg
• Significant experience in a similar role, with ideally prior authorisation as a RC and excellent knowledge of alternative fund structures
• Able to operate at 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 (French skills represent an advantage)