Chief Compliance Officer (CCO)

1435 Capital Management is seeking a highly capable, business oriented Chief Compliance Officer ("CCO") to lead the firm's compliance, regulatory, fund operations, and governance functions. This role is central to maintaining a scalable compliance infrastructure for a venture capital firm, supporting fund and SPV activity, and partnering closely with the Managing Partner, General Counsel, investment team, and external service providers.
The ideal candidate brings practical expertise with the US securities law framework applicable to private funds and venture capital advisers, including SEC registration and reporting exemptions, Form ADV obligations, private offering compliance, investor onboarding, AML/KYC controls, conflicts management, and compliance program administration.
Core Responsibilities:
Compliance and Regulatory Oversight
Design, implement, administer, and continuously improve the firm’s compliance program, tailored to 1435 Capital Management’s business model, investment strategies, fund structures, investors, portfolio companies, and service provider relationships.
Serve as the principal internal resource on SEC, federal securities law, private fund, investment adviser, and related regulatory matters affecting the firm.
Advise senior leadership on the firm’s status and obligations as applicable, including SEC registered investment adviser, exempt reporting adviser, venture capital fund adviser, private fund adviser, or other potentially relevant registration or exemption categories.
Monitor, assess, and help preserve compliance with the venture capital adviser exemption under Section 203(l) of the Investment Advisers Act and Rule 203(l)-1, as well as other applicable exemptions, exclusions, filing requirements, and regulatory thresholds.
Coordina

1435 Capital Management正在寻找一位能力出众、以业务为导向的首席合规官（“CCO”），以领导公司的合规、监管、基金运营和治理职能。该职位对于维持一家风险投资公司的可扩展合规基础设施至关重要，支持基金和SPV活动，并与管理合伙人、总法律顾问、投资团队和外部服务提供商紧密合作。
理想的候选人应具备适用于私募基金和风险投资顾问的美国证券法框架的实务专业知识，包括SEC注册和报告豁免、Form ADV义务、私募发行合规、投资者入驻、AML/KYC控制、利益冲突管理以及合规项目管理。
核心职责：
合规与监管监督
设计、实施、管理并持续改进公司的合规计划，使其契合1435 Capital Management的商业模式、投资策略、基金结构、投资者、投资组合公司和服务提供商关系。
作为公司内部关于SEC、联邦证券法、私募基金、投资顾问及相关监管事务的主要资源。
就公司作为适用的SEC注册投资顾问、豁免报告顾问、风险投资基金顾问、私募基金顾问或其他可能相关的注册或豁免类别的地位和义务，向高级领导层提供建议。
监控、评估并协助维护对《投资顾问法》第203(l)条和第203(l)-1条下风险投资顾问豁免以及其他适用豁免、排除、申报要求和监管阈值的合规。
协调

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