Chief Compliance Officer – US
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Job Description
Chief Compliance Officer building SEC compliance infrastructure for Allocator One’s private-fund platform. Advising fund structuring, GP governance, and institutional investor readiness.
Responsibilities:
- Lead the SEC registration process as a private fund adviser, including Form ADV Parts 1A, 1B, and Part 2 Adviser Brochure
- Manage ongoing SEC 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 regulatory inquiries
- Monitor evolving SEC private fund rules and translate them into practical policies
- Define staffing, systems, and office infrastructure needed to establish adequate organizational substance
- Establish procedures for monitoring sub-advised GPs and compliance with fund mandates and risk limits
- Oversee books and records management, including six-year retention, email preservation, trade capture, and decision logs
- Coordinate with IT on cybersecurity compliance
- Design and oversee compliance monitoring across Infra One’s portfolio of funds
- Conduct initial and ongoing due diligence on GP sub-advisers
- Maintain evidence of monitoring through quarterly reviews, compliance testing, and incident logs
- Advise the US Platform Head on fund structuring, GP selection, and investor eligibility
- Participate in investment committee meetings to identify compliance and regulatory risks
- Own conflicts-of-interest identification and disclosure and communicate material conflicts to fund investors
- Report to the US Platform Head / Managing Director
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
- Entrepreneurial compliance mindset; ability to build frameworks from scratch
- Cross-functional fluency across operations, finance, and legal
- Ability to translate complex regulatory requirements into actionable policy for non-compliance teams
- Prior exposure to European fund regulation (Luxembourg, Ireland) or multi-jurisdictional platforms (nice to have)
- CPA, JD, or CFA (nice to have); CCEP is a plus
- Exposure to infrastructure or venture fund management (nice to have)
Benefits:
- 20% bonus
- Equity: TBD (0.1%–0.3% depending on background)
- Remote work with preferred US timezone overlap with San Francisco HQ
- Full ownership of the compliance operating system
- Direct input into platform strategy and GP selection
- Participation in investment decisions and board discussions
- Meaningful equity stake in an early-stage platform
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