Allocator One logo
Allocator One

Allocate or stagnate.

Chief Compliance Officer, US

ComplianceComplianceFull TimeRemoteLeadTeam 11-50Since 2023H1B No SponsorCompany SiteLinkedIn

Location

United States

Posted

3 days ago

Salary

$200K - $280K / year

Seniority

Lead

Bachelor Degree8 yrs expEnglishCyber Security

Job Description

• Architect of Regulatory Credibility • Lead the SEC registration process as a private fund adviser (Form ADV Part 1A, 1B, and Part 2 Adviser Brochure) and manage ongoing compliance. • Design and implement written compliance policies covering portfolio management, conflicts of interest, fiduciary duties, custody oversight, and AML/KYC frameworks. • Conduct annual compliance reviews and testing; prepare SEC examination responses and handle any regulatory inquiries. • Stay current with evolving SEC private fund rules (Reg PF, current enforcement priorities) and translate them into practical Infra One policies. • Define staffing, systems, and office infrastructure requirements to meet SEC expectations for "adequate" organizational substance (not formulaic, but credible). • Establish procedures for monitoring sub-advised GPs and ensuring they comply with fund mandates and risk limits. • Oversee books and records management (6-year retention, email preservation, trade capture, decision logs) and coordinate with IT on cybersecurity compliance. • Design and oversee compliance monitoring across Infra One's portfolio of funds (each with its own structure and GP). • Conduct initial and ongoing due diligence on each GP sub-adviser: qualifications, compliance history, operational capabilities, conflicts of interest. • Maintain evidence of monitoring (quarterly reviews, compliance testing, incident logs) to demonstrate SEC-level governance. • Advise the US Platform Head on fund structuring choices (Delaware LP vs. LLC, feeder structures, co-investment), GP selection, and investor eligibility questions. • Participate in investment committee meetings to flag compliance or regulatory risks early. • Own conflicts of interest identification and disclosure; ensure all material conflicts are documented and communicated to fund investors.

Job Requirements

  • 7–12 years of compliance experience at a registered investment adviser (RIA), private fund platform, hedge fund, or PE firm.
  • Deep knowledge of the Advisers Act, Reg D, Form ADV, and SEC examination standards for private fund advisers.
  • Hands-on experience with multi-fund governance, sub-adviser monitoring, and conflicts of interest management.
  • Familiarity with custody rules, AML/KYC frameworks, and cybersecurity compliance standards.
  • Prior experience with SEC registration, Form ADV filings, and exam cycles.

Benefits

  • Remote (preferred US timezone overlap with San Francisco HQ)
  • 20% bonus
  • Equity: TBD (0.1%–0.3% depending on background)

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