Chief Compliance Officer - NLG Capital

Come join one of America's fastest-growing insurance companies. Since 1848, National Life Group has aimed to keep our promises, providing families with stability in good times and in bad. Throughout that history, we have provided peace of mind to those families as they plan their futures.

Our mission extends beyond the insurance and annuities policies that we offer. We strive to make the world a better place through our grants from our charitable foundation, paid volunteer time for our employees, environmentally sustainable and healthy workplaces, and events that promote the work of nonprofits in our own backyard.

We foster a collaborative environment with opportunities for growth and encourage our associates to live our values:
Do good. Be good. Make good.

Chief Compliance Officer

Job Summary

The Chief Compliance Officer (CCO) will lead and oversee the compliance program for NLG Capital, Inc. (the Firm), an SEC-registered investment adviser within the National Life Group family of companies. This senior leadership role is responsible for preparing and executing a forward-looking compliance strategy that ensures adherence to regulatory standards while enabling the Firm's continued growth across various asset markets-including CLO management, Private Credit, Asset-Backed Finance, and Commercial Real Estate investment strategies.

The CCO will partner closely with the Firm's leadership team, Board and Legal team to integrate compliance across both traditional insurance asset management and the Firm's expanding private markets platform. This position plays a critical role in supporting NLG Capital's strategic shift from public to private assets, providing practical, solutions-oriented compliance guidance that supports innovation while maintaining strong governance and fiduciary standards.

Primary Responsibilities

Strategic Compliance Leadership

* Define and execute a comprehensive compliance strategy aligned with NLG Capital's growth priorities, including private credit, CLO management, asset-backed finance, commercial real estate and other private markets.

* Partner with leadership to ensure compliance frameworks enable business objectives while maintaining regulatory integrity and investor confidence.

* Provide proactive guidance on compliance risks, regulatory developments, and industry trends-particularly those shaping private and alternative investments.

* Build and maintain a governance framework that spans both traditional insurance investments and private asset platforms.

Regulatory Oversight & Relationship Management

* Serve as the primary point of contact for the SEC and other regulatory bodies, overseeing examinations, inquiries, and communications.

* Ensure the timely and accurate completion of all regulatory filings (e.g., Form ADV, Rule 206(4)-7 annual reviews) and Board reporting.

* Monitor and interpret new and evolving regulations affecting investment activities, including private credit, structured finance, and real estate investment activities, ensuring the Firm remains prepared and compliant.

Program Development & Execution

* Lead the design, implementation, and continuous improvement of the Firm's compliance program, with specific focus on CLO management, private lending, and SPV oversight.

* Oversee investment compliance monitoring across public and private assets, ensuring that policies, investment mandates, and client restrictions are consistently met.

* Partner with investment and operations teams to develop compliance controls around credit underwriting, borrower diligence, and collateral management.

* Leverage data analytics and technology to streamline compliance monitoring and enhance transparency in private asset structures.

Risk Management & Oversight

* Collaborate with Legal, Risk, Operations, and Investments to integrate compliance within the Firm's broader risk management framework.

* Identify and address emerging compliance risks associated with illiquid investments, valuation practices, and complex deal structures.

Leadership & Culture

* Build and lead a high-performing compliance team with expertise across both private and traditional investment strategies.

* Foster a culture of…