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.

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. As our first Authorised Compliance Manager based permanently in Luxembourg, you’ll:

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

About You

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

We are an equal opportunity employer and are committed to providing a positive interview experience for every candidate. If accommodations due to a disability or medical condition are needed, please connect with the recruiter via email. As a company, we value fairness, helpfulness, transparency, leadership and build our teams around these values. Check out our careers page to get to know us better as you think about your next step at Carta.

Important Security Notice for Candidates

Our company has been targeted by individuals creating fake domains similar to ours to scam prospects and candidates. Please note that all official communications from us will come from an @carta.com domain. Be cautious of any requests for sensitive information or payments outside of our official channels. For more information about this type of scam, please review the guidelines provided by the Federal Trade Commission (FTC). If you encounter any suspicious activity, please report it immediately to .

Awards and Acknowledgements

Companies and funds like Tribe and Pipe build their businesses on Carta. The company has been included on the Forbes World’s Best Cloud Companies, Fast Company's Most Innovative list, and Inc.’s Fastest-Growing Private Companies. We’ve also been recognized as a 2023 Built In Best Place to Work in the U.S., a Muse VIBE Award winner in the Vacation and Time Off category and certified as a Great Place to Work.

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