Compliance Officer, Investor Onboarding

The Company Youll 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 65000 companies in 160 countries Cartas platform of software and services lays the groundwork so you can build invest and scale with confidence.

Cartas Fund Administration platform supports 9000 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 dont work for Private Funds. Private capital markets need a comprehensive software solution to replace outdated spreadsheets and fragmented service providers. Cartas software for the Office of the Fund CFO does just that - its 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 Youll Work With

As an Investor Onboarding Associate at Carta youll sit within Cartas European business this role youll 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 Youll 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 seePrivacyCA Candidate Privacy and Brazil Transparency Report.
• Please note that all official communications from us will come from an @ or @ domain. Report any contact from unapproved domains to