Fund Compliance Officer & Responsable du Contrôle
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.