Fund Compliance Officer and Compliance Control Manager
Carta provides an intelligent platform for private capital operations, connecting data, workflows, and people.
About Carta
Carta operates a platform for private capital that helps companies, private equity and venture capital firms, limited partners, and other financial organizations manage portfolios, move money, and model investment scenarios. Its offerings include equity and cap table management, valuations, compensation, liquidity, fund administration, fund tax, SPVs, deal CRM, portfolio valuations, loan operations, LP analytics, compliance, contracts, and attorney-led legal services. Carta combines software, AI capabilities, and expert human services for private capital workflows.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will accept formal appointment as Responsable du Contrôle for a portfolio of Luxembourg-domiciled investment funds. You will maintain fund AML/CFT frameworks, oversee investor and asset due diligence, monitor delegated activities, report to fund boards, liaise with regulators, and deliver compliance training.
Requirements
- Right to work in Luxembourg
- At least 7 years of professional AML/CFT experience
- Exposure to the Luxembourg alternative fund industry
- Prior CSSF and AED authorisation or eligibility to act as Responsable du Contrôle for funds
- Knowledge of Luxembourg AML/CFT legislation and fund-structure regulatory requirements
- Board-level communication and senior stakeholder management
- Ability to manage multiple mandates and regulatory deadlines
- Excellent English
- French is an advantage
Responsibilities
- Accept formal appointment as Responsable du Contrôle for a portfolio of Luxembourg-domiciled investment funds
- Maintain and annually update AML/CFT policies, procedures, risk appetite statements, and business-wide risk assessments
- Develop, execute, and monitor AML/CFT compliance plans and remediation actions
- Maintain investor due diligence questionnaires and ensure investor files are current and risk-scored
- Oversee AML delegation by transfer agents and other stakeholders
- Oversee investor and asset due diligence and maintain current KYC files
- Prepare and present quarterly and annual RC reports to fund boards
- Oversee AML external audits in accordance with applicable CSSF requirements
- Act as the regulatory liaison for CSSF and AED requests and ensure timely FIU reporting
- Assess regulatory developments and update policies and processes
- Deliver AML/CFT training to fund boards and relevant stakeholders
- Support onboarding of new RC mandates and fund-level AML documentation