Allocator One

Compliance

• 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).

Chief Compliance Officer – US