Allocator One · 23 hours ago
Chief Compliance Officer (CCO) - US
United States
Full-time
Remote
Director/Executive
$200K/yr - $280K/yr
7+ years expAllocator One Group is a global investing platform redefining how institutional capital reaches private markets. The Chief Compliance Officer will design the regulatory operating system for a European platform entering complex financial markets, overseeing SEC registration, compliance monitoring, and advising on fund structuring.
Financial Services
Responsibilities
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
Qualification
Required
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: you thrive in ambiguity and build frameworks from scratch rather than inheriting them
Cross-functional fluency: you speak the language of operations, finance, and legal—not just compliance
Practical and proportionate: you understand when regulation requires substance and when it allows flexibility
Communicator: you can distill complex regulatory requirements into actionable policy for non-compliance teams
Preferred
Prior exposure to European fund regulation (Luxembourg, Ireland) or multi-jurisdictional platforms
CPA, JD, or CFA; CCEP (Certified Compliance and Ethics Professional) is a plus
Exposure to infrastructure or venture fund management
Benefits
Equity: TBD (0.1%–0.3% depending on background)
Autonomy: Full ownership of the compliance operating system; direct input into platform strategy and GP selection.
Visibility: Reporting directly to the MD; participation in investment decisions and board discussions.
Global impact: Help reshape how emerging infrastructure and venture managers access US capital.
Equity upside: Early-stage role with meaningful equity stake in a platform targeting the largest capital markets in the world.
Company
Allocator One
Incubator for first-time Fund managers
2-10 employees
Funding
Current Stage
Early StageRecent News
2025-10-13
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2025-10-09
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