Regulatory Compliance Program Manager London, England

Carta, Inc.; Mississippi; On-site; USD 90,000 - 140,000; Full time

Job summary

A leading company in capital market solutions seeks a Regulatory Compliance Program Manager to lead the AML compliance framework. The role involves ensuring adherence to UK laws, managing risk assessments, and enhancing compliance awareness across the organization. Ideal candidates will have extensive experience in compliance and a Master's degree.

Benefits

Equal opportunity employer

Qualifications

• Minimum 7 years in AML, regulatory compliance, and financial crime roles.
• In-depth knowledge of UK AML laws.
• Practical experience with risk assessments and audits.

Responsibilities

• Designing and maintaining AML/CTF programs.
• Conducting risk assessments and managing investigations.
• Leading AML audits and ensuring regulatory compliance.

Skills

Regulatory Compliance

Anti-Money Laundering (AML)

Counter-Terrorist Financing (CTF)

Risk Assessment

Stakeholder Communication

Education

Master’s Degree in Law or Business Administration

Job description

Carta connects founders, investors, and limited partners through world-class software, purpose-built for everyone in venture capital, private equity and private credit.

Carta’s fund administration platform supports nearly 7,000 funds and SPVs, representing $150B in assets under administration in venture capital and private equity. Trusted by more than 40,000 companies, Carta also helps private businesses in over 160 countries manage their cap tables, valuations, taxes, equity programs, compensation, and more.

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 Private capital markets need a comprehensive software solution to replace outdated spreadsheets and fragmented service providers.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.

You will be a key member of the compliance and legal teams, working closely with fund administration, senior management, and business stakeholders across Carta UK. You'll regularly engage with external bodies including the Financial Conduct Authority (FCA), the National Crime Agency (NCA), law enforcement, and auditors. You will also liaise with internal teams to align know-your-customer (KYC) procedures and maintain strong partnerships across the organization to promote compliance awareness.

The Problems You’ll Solve

As the Regulatory Compliance Program Manager and appointed Money Laundering Reporting Officer (MLRO), you’ll lead our UK compliance framework with a focus on anti-money laundering (AML), counter-terrorist financing (CTF), and sanctions regulations. You will ensure that our systems and controls meet all legal and regulatory obligations under UK legislation such as the Money Laundering Regulations 2017, Proceeds of Crime Act 2002, and Terrorism Act 2000.

Your responsibilities will include:

• Designing and maintaining AML/CTF programs, policies, and training.
• Reviewing internal escalations and submitting SARs to the NCA.
• Monitoring regulatory changes and ensuring timely implementation.
• Conducting risk assessments and overseeing CDD, EDD, and monitoring.
• Managing internal investigations and liaising with law enforcement.
• Leading AML audits, reviews, and periodic testing of systems and controls.
• Identifying suspicious or fraudulent activity and enforcing escalation protocols.

The Impact You’ll Have

Your work will directly protect Carta UK and its clients from financial crime risk. By designing and maintaining robust compliance systems, you will ensure regulatory alignment and mitigate reputational and legal risk. Through training and cross-functional collaboration, you will enhance compliance awareness and shape a culture of accountability and integrity. Your insights will inform senior management, guide decision-making, and support sustainable business growth in a heavily regulated space.

About You

You bring deep expertise in UK regulatory compliance and AML/CTF frameworks, with a track record of leading successful compliance programs. You're experienced in operating in regulated financial environments and have previously served as an MLRO or Deputy MLRO. You have:

• A Master’s Degree in Law, Business Administration, or equivalent experience.
• At least 7 years in AML, regulatory compliance, and financial crime roles.
• In-depth knowledge of UK AML laws, including the Proceeds of Crime Act 2002 and the Terrorism Act 2000.
• Strong understanding of FCA expectations and the Financial Crime Guide.
• Practical experience with SARs, risk assessments, CDD/EDD, and AML audits.

You're proactive, detail-oriented, and effective under pressure. You know how to communicate complex regulatory matters clearly and influence stakeholders at all levels. You're tech-savvy, adaptable, and comfortable navigating change in a fast-paced environment.

Preferred Certifications:

• Certified Anti-Money Laundering Specialist (CAMS)
• International Compliance Association (ICA) qualifications, including ICA Diploma in AML

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.
• 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 [e-mail].

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