Fund Compliance Officer & Responsable du Contrôle

## The Company You’ll Join Carta is the connected platform and AI-native ecosystem for private capital. Built to replace fragmented tools with a single system of record, Carta brings together the software, services, and legal infrastructure that founders use to manage equity, fund managers use to run administration and reporting, and legal teams use to close transactions. Trusted by 55,000 companies and 1.8M+ equity holders in 160+ countries, and 10,000 funds and SPVs representing $250B+ in assets under management, Carta is transforming how private capital operates. Recognized by Fortune, Forbes, Fast Company, Inc. and Great Places to Work. For more information about our offices and culture, check out our [Carta careers page](https://carta.com/careers/). ## **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. Carta Lux S.à r.l. is a CSSF-licensed Specialised PFS providing fund administration, transfer agency, domiciliation, and related services to alternative investment funds in Luxembourg. As we grow our fund client base, our clients require a dedicated, CSSF-approved Responsable du Contrôle at the fund level. This is a newly created role sitting within our team in Luxembourg. This role carries a dual reporting line: operationally to the Authorised Manager responsible for the operations, and functionally to the RR. You will be formally appointed as RC for a portfolio of Carta-administered investment funds, carrying full statutory responsibility for each fund's AML/CFT framework. ## **As our Fund RC, you will:** - Accept formal appointment as Responsable du Contrôle for a portfolio of Luxembourg-domiciled investment funds administered by Carta Lux - Maintain and annually update each fund's AML/CTF policies and procedures, risk appetite statement, and business-wide risk assessment (BWRA) - Develop, update, and execute the AML/CTF compliance monitoring plan for each fund mandate; propose and track remediation plans where gaps are identified - Maintain and update investor due diligence questionnaires; ensure all investor files are current and appropriately risk-scored - Perform AML delegation oversight of transfer agents and other key stakeholders, including periodic due diligence and review of AML/CTF SLAs - Oversee investor and asset due diligence across the fund's operating model; ensure KYC files are kept up to date in line with the fund's risk-based approach - Report to fund boards on a quarterly and annual basis; prepare and present RC reports and attend board meetings in your capacity as appointed RC - Oversee the AML external audit of each fund in accordance with CSSF Circular 21/790 and applicable CSSF/AED regulatory requirements - Act as the primary regulatory liaison for each fund mandate: handle CSSF and AED surveys, data calls, and ad hoc regulator requests; ensure timely FIU reporting in respect of suspicious transactions - Assess regulatory developments affecting fund AML/CTF frameworks and translate them into policy and process updates - Deliver AML/CTF training to fund boards, Carta Lux colleagues, and other relevant stakeholders - Support the onboarding of new RC mandates, including the buildout of fund-level AML documentation and policies ## **About You** - Must hold the right to work in Luxembourg - At least 7 years of professional experience in AML/CFT, with demonstrable exposure to the Luxembourg alternative fund industry - Prior authorisation or eligibility for approval by the CSSF and AED to act as Responsable du Contrôle for funds; previous RC appointment experience is strongly preferred - Solid knowledge of Luxembourg AML/CFT legislation and regulatory requirements applicable to fund structures (RAIFs, SCSps, SICARs, SIFs, and equivalent vehicles) - Comfortable operating at board level: clear communicator, capable of presenting RC reports and managing senior stakeholder relationships - Organised and detail-oriented, with the ability to manage multiple mandates simultaneously and meet regulatory deadlines - Excellent command of English required; French is an advantage At Carta, you’re not just an employee. You’re a builder who is creating infrastructure that accelerates innovation and empowers more ownership. Cartans are helpful, relentless, unconventional and kind; representing Carta’s Identity Traits. They work collaboratively and cross functionally to challenge the status quo; working towards a common goal of creating more owners in the private markets. Disclosures: - 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 talent partner via email. - Carta uses E-Verify in the United States for employment authorization. See the [E-Verify](https://www.e-verify.gov/about-e-verify/what-is-e-verify) and [Department of Justice](Department) websites for more details. - For information on our data privacy policies, see [Privacy](https://carta.com/privacy/), [CA Candidate Privacy](https://carta.com/privacy/candidate/), and [Brazil Transparency Report](https://carta.com/legal/br/brazil-pay-transparency/). - **Please note that all official communications from us will come from an @carta.com or @carta-external.com domain. Report any contact from unapproved domains to .**