Compliance Officer - Investor Onboarding

1w1 week ago

Carta

London, GB · Full-time · £70,000 – £95,000

About this role

Carta connects founders, investors, and limited partners through world-class software purpose-built for venture capital, private equity, and private credit. Trusted by 65,000+ companies in 160+ countries, Carta’s platform lays the groundwork to build, invest, and scale with confidence. Its Fund Administration supports 9,000+ funds and SPVs with nearly $185B in assets under management.

As a Compliance Officer in Investor Onboarding, you’ll work within Carta's European business unit. You’ll facilitate onboarding of new clients including General Partners, Investment Managers, and Limited Partners in Funds and SPVs. Collaborate with customers and internal stakeholders in compliance, delivery, and legal.

Utilize Carta’s proprietary onboarding dashboard integrated with Comply Advantage for screening/sanctions/AML, BVD/Moody’s data aggregator, and Onfido for ID verification. Ensure regulatory obligations like MiFID II and Well Informed Investor classifications are met. Oversee due diligence aligned with FCA, CIMA, BVI, and CSSF regulations.

Solve key problems like leading due diligence reviews, daily sanctions/PEP screenings, and EDD for high-risk clients. Act as escalation point and technical expert for queries. Contribute to Carta’s end-to-end ERP platform transforming private markets.

Requirements

Knowledge of MiFID II and Well Informed Investor eligibility classifications
Familiarity with FCA, CIMA, BVI, CSSF Regulation N° 12-02, and CSSF circulars 19/732, 17/650
Experience with FATCA and CRS data input requirements
Proficiency in AML/KYC screening tools like Comply Advantage, BVD/Moody’s, Onfido
Ability to handle sophisticated High Net Worth / MiFID Investor categorisation
Skills in EDD KYC for complex high-risk clients including Politically Exposed Persons
Understanding of sanctions, PEP, and adverse media screening processes

Responsibilities

Lead due diligence review on new Fund GPs/LPs, Target/Portfolio in line with FCA/CIMA/BVI/CSSF regulations
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, business, and internal departments
Oversee streamlined operational support for investor onboarding
Review AML/KYC/KYT documentation in line with CSSF 17/650 and Carta risk scoring methodology
Oversee daily screenings for customers, related parties, beneficial owners against sanctions, PEP exposure, and adverse media
Lead periodic review of KYC records for completeness and currency