working alongside entrepreneurs to promote innovation and growth to build impactful companies About the Company 1435 Capital has an established track record of transformational investing in leading early-stage and growth stage companies. Our team of...
About the role
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. Found on 1752vc Careers, the job board for startup and VC roles.
What they're looking for
- Bachelor's degree preferred, Juris Doctor, MBA, CPA, FINRA, IACCP, CAMS, or other relevant compliance, legal, financial services, or risk credential strongly preferred
- 7+ years of progressively responsible experience in compliance, legal, fund operations, private funds, venture capital, private equity, investment management, financial services, or a related regulated environment
- Demonstrated knowledge of the Investment Advisers Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, private offering exemptions, and compliance practices relevant to private fund managers
- Experience developing, administering, and testing compliance policies and procedures in a regulated investment management environment
- Experience conducting KYC, AML, sanctions, beneficial ownership, vendor, and counterparty diligence
- Strong familiarity with contract management practices, entity governance, document lifecycle management, and service provider oversight
More about this role
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.
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...
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