Chief Compliance Officer, CCO

🕒 Março 24

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Allocator One

SiteLinkedInTodas as Vagas

11 - 50 funcionários

Fundada em 2023

💸 Finanças

💳 Fintech

🤝 B2B

Finance • Fintech • B2B

Allocator One é uma empresa focada em fornecer investimentos âncora para fundos de venture capital de primeira viagem. Eles oferecem aos gestores de fundos suporte com documentação e tarefas administrativas, garantindo ao mesmo tempo acesso a uma rede de prestadores de serviços e investidores. A Allocator One está comprometida em tornar o ecossistema de fundos mais acessível e lucrativo por meio de abordagens de investimento inovadoras e parcerias estratégicas.

Descrição

• 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).

🎯 Requisitos

• 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.

🏖️ Benefícios

• Salary Range: $200,000–$280,000 base + 20% bonus • Equity: TBD (0.1%–0.3% depending on background)