Our client, a leading private investment firm, is seeking a CCO/DGC to take ownership of its compliance function. This is a highly visible, high-priority hire with direct exposure to senior leadership and a clear mandate to bring structure, accountability, and operational rigor to the firm’s compliance program. This opportunity is well-suited for a high-upside compliance professional who is ready to step into a CCO role or join as a deputy with a defined path to CCO in the near term. The role combines hands-on execution with strategic oversight and offers meaningful breadth across compliance and legal matters.
Key Points
- Opportunity to build and refine compliance processes and infrastructure within a stable fund with strong long-term growth
- Broad role spanning compliance leadership and legal support and working in a collaborative, low-ego culture that values initiative and accountability
- Exposure to technology and AI-driven process improvements
- High-profile position with a true seat at the table amongst bright, talented investment and operations professionals
Responsibilities
- Take full ownership of the firm’s compliance program, ensuring it is practical, well-documented, and regulator-ready
- Build, maintain, and improve policies, procedures, and compliance workflows across the organization
- Establish structured processes for tracking, escalation, and resolution of compliance matters
- Oversee regulatory filings, documentation, and ongoing compliance obligations
- Advise on key regulatory requirements impacting investment advisers and private funds
- Monitor and enforce policies related to conflicts of interest, personal trading, MNPI, and code of ethics
- Review and approve investor-facing materials and maintain supporting documentation
- Provide support on commercial agreements and other compliance-adjacent legal matters
- Partner with internal teams and external advisors to ensure the effective execution of compliance initiatives
Qualifications
- J.D. with active bar membership
- Experience in investment management compliance, preferably within private equity or alternative asset management
- Demonstrated ability to build or improve compliance programs and processes
- Proactive, hands-on approach with strong ownership and follow-through
- Strong communication skills and ability to engage with senior stakeholders and sound judgment with an ability to balance regulatory requirements with business needs
Compensation: $250K+ base; $500-800K+ all-in