Michael J.

Manager, Legal and Compliance Chief Compliance Officer (Affiliated Private Fund Advisers) @1248 Holdings

US

Hold the internal title of Compliance Manager while serving as designated Chief Compliance Officer for affiliated private fund advisers (venture capital and private equity) and compliance contact for an exempt reporting adviser. Oversee compliance with the Investment Advisers Act of 1940 and related SEC rules, ensuring programs are both practical and audit-ready.Core Responsibilities-Design, implement, and monitor compliance policies under the Advisers Act, including the Marketing Rule, MNPI/insider trading controls, Code of Ethics, custody rule, and cybersecurity-Manage regulatory filings: Form ADV, Form PF, Form 13F, Form 13H, Form D, and Blue Sky-Conduct compliance testing and monitoring, including fee and expense allocations, valuation oversight, best execution, and custody compliance-Oversee and review marketing materials and investor communications for compliance with the SEC\'s Marketing Rule-Administer the Code of Ethics, including personal trading, gifts/entertainment, and political contributions-Conduct the firm’s annual compliance program review under Rule 206(4)-7; prepare reports for senior management and boards/GPs-Review and negotiate NDAs, service agreements, and vendor contracts; advise executives on risk management and governance-Oversee third-party service providers (fund administrators, custodians, auditors, legal counsel) through due diligence and ongoing monitoring-Lead compliance training and employee attestations; promote a business-oriented culture of compliance-Maintain SEC exam readiness, including substantiation files and coordination with auditors and outside counsel-Explore AI and automation tools to improve efficiency in testing, reporting, and monitoring.