We are looking for an accomplished Chief Compliance Officer to guide enterprise-wide compliance strategy for a private investment firm operating across the United States. This executive will serve as a key advisor to senior leadership on regulatory risk, securities compliance, and business practices in a highly regulated environment. This role is well suited for a compliance professional with deep experience supporting private funds and broker-dealer activities.
The salary range for the role is flexible but estimated between 200-275k DOE with an additional yearly bonus. They offer a full benefits package, including medical, dental, vision and life insurance, 401k with 4% match, 3-4 weeks PTO/sick leave, 7 paid holidays, paid CLE and bar dues and other perks.
Responsibilities:
- Direct the organization’s compliance and risk management program, ensuring alignment with applicable securities laws and regulatory expectations.
- Advise executive leadership and revenue-focused teams on regulatory obligations, business risk, and compliant operating practices.
- Lead, mentor, and oversee compliance staff, including paralegal support, while partnering closely with internal legal leadership.
- Serve as a primary point of contact for external counsel and coordinate legal and compliance matters requiring outside expertise.
- Develop, refine, and enforce policies, controls, and monitoring processes related to private fund offerings and investment advisory activities.
- Oversee filings, disclosures, and compliance processes associated with regulations such as Regulation D, Regulation S, and applicable Blue Sky requirements.
- Assess emerging compliance risks and recommend practical mitigation strategies.
- At least 7 years of experience in a director-level or comparable leadership role focused on securities compliance and regulatory risk.
- Demonstrated knowledge of the Investment Advisers Act, the Securities Act of 1933, the Securities Exchange Act of 1934, Regulation D and Form D, Regulation S, and Blue Sky filing obligations.
- Prior compliance experience within private funds, including work tied to fund offerings and regulated investment activities.
- Background supporting a managing broker-dealer or selling broker-dealer involved in private fund distribution.
- Ability to lead compliance personnel and provide executive-level counsel in a complex, highly regulated business environment.
- Experience in risk assessment, audit compliance, and anti-money laundering programs; CRISC, CISA or CISM certification is beneficial.
- Experience in EB5 investments and the Reform and Integrity Act of 2022 is not required but desirable.
- Licensed attorneys are encouraged but not a requirement.
For expedited and confidential consideration, email your resume to Amy(period)Dillahunty(at)RobertHalf(period)com with subject line CCO