Chief Compliance Officer, CCO
Posted 2026-05-06
Remote, USA
Full-time
Immediate Start
- 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)