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Compliance Officer, Investor Onboarding

London, England

The Company You’ll Join

Carta connects founders, investors, and limited partners through world-class software, purpose-built for everyone in venture capital, private equity and private credit. Trusted by 65,000+ companies in 160+ countries, Carta’s platform of software and services lays the groundwork so you can build, invest, and scale with confidence.

Carta’s Fund Administration platform supports 9,000+ funds and SPVs, representing nearly $185B in assets under management, with tools designed to enhance the strategic impact of fund CFOs. Recognized by Fortune, Forbes, Fast Company, Inc. and Great Places to Work, Carta is shaping the future of private market infrastructure.

Together, Carta is creating the end-to-end ERP platform for private markets. Traditional ERP solutions don’t work for Private Funds. Private capital markets need a comprehensive software solution to replace outdated spreadsheets and fragmented service providers. Carta’s software for the Office of the Fund CFO does just that - it’s a new category of software to make private markets look more like public markets - a connected ERP for private capital. 

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

The Team You’ll Work With

As an Investor Onboarding Associate at Carta, you’ll sit within Carta's European business unit. In this role you’ll be responsible for working directly with both customers and key internal stakeholders (compliance, delivery, and legal) to facilitate onboarding of new clients (General Partners, Investment Manager and Limited Partners in Funds and SPVs 

Carta AML/KYC onboarding systems

The Investor onboarding  team shall utilise the Carta proprietary onboarding dashboard system,  integrated screening/sanctions/AML application (Comply Advantage), data aggregator (BVD; Moodys) and ID verification (Onfido) tools to ensure that we are satisfying our regulatory obligations particularly for MiFID II / Well informed Investor eligibility classifications.

The Problems You’ll Solve

  • Lead on due diligence review on new Fund GPs/LPs, Target/Portfolio, in line with the Fund and SPV Jurisdiction FCA/CIMA/BVI/CSSF Regulation N° 12-02 (of 14 December 2012 on the fight against money laundering and terrorist financing) and CSSF circular 19/732 (of 20 December 2019).
  • Act as an escalation point for the 1LOD
  • Oversee  the approval of low and medium risk clients.
  • Serve as a technical product expert to respond to queries from clients, the business and other internal departments
  • Responsible and overseeing a streamlined operational support for investor onboarding 
  • Sophisticated and High Net Worth /  MiFID  Investor client categorisation
  • Review AML/KYC / KYT documentation in line with (CSSF 17/650 as amended by Circular CSSF 20/744) and Carta risk scoring methodology. 
  • Ensure complete data input into the dashboard for  FATCA and CRS  
  • Oversee daily  screenings for customers, related parties, beneficial owners against sanctions, PEP exposure and adverse media.
  • Oversee the review of daily alerts resulting from overnight screening;
  •  Ensure that higher risk flags and clients  are escalated  to the second line of defense.
  • Lead on  Periodic review of KYC records as to completeness, including verifying that due diligence is  performed; also that the files and risk assessments are current and up to date
  • Prepare  EDD KYC documentation on complex and high risk clients and escalating to the second line of defense for approval i.e , including Politically Exposed Persons, and obtaining all necessary documentation to complete the client file
  • Oversee daily /weekly tasks of the Manila BPO.
  • Oversee engaging with all investors to disseminate/collect document and data enhancement requests and resolve open issues. 
  • Responsible for 1LOD quality control on investor KYCs for low and medium risk.

About You

We are looking for an individual with financial services experience that is results-oriented, self-motivated, and has the ability to thrive in a fast-paced, high pressure environment. The ideal candidate must be able to work closely and professionally with all teams at Carta

  • Minimum 5-7 years of experience in financial services 
  • Experience in venture capital and institutional clients
  • Strong communication and interpersonal skills, both written and verbal
  • Collaborative nature with strong intellectual curiosity
  • Ability to solve problems in high pressure, time-sensitive, and demanding situations
  • Committed to the highest levels of integrity, ethics, and professionalism
  • Strong attention to detail
  • Experience with customer onboarding in line with JMLSG, document requests, and complex project planning and management
  • Experience working on periodic review, screening for adverse media PEP and sanctions.
  • Experienced on FCA handbook
  • Experienced on CSSF regulatory requirement AML Law 12 November 2004, CSSF Circular 18/698, CSSF Circular 21/782, the 5th AML Directive, The 6th AML Directive, and in the respect of the prescribed provision of the CSSF Regulation N° 12-02 and CSSF Circular 19/732

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 and Department of Justice websites for more details.
  • For information on our data privacy policies, see Privacy, CA Candidate Privacy, and Brazil Transparency Report.
  • 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 security@carta.com.

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