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 licensed attorney with deep experience supporting private funds and broker-dealer activities.

The salary range for the role is flexible but estimated between 200-350k 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.