Chief Compliance Officer, CCO
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).
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:
• Salary Range: $200,000–$280,000 base + 20% bonus
• Equity: TBD (0.1%–0.3% depending on background)
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• 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).
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:
• Salary Range: $200,000–$280,000 base + 20% bonus
• Equity: TBD (0.1%–0.3% depending on background)
Apply tot his job
Apply To this Job