Chief Compliance Officer - NLG Capital

Chief Compliance Officer

Addison, TX;
Montpelier, VT

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.

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.

• 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.

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

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

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

• Build and lead a high-performing compliance team with expertise across both private and traditional investment strategies.
• Foster a culture of integrity, accountability, and transparency across all levels of the organization.
• Provide mentorship, training, and thought leadership to enhance compliance knowledge and engagement firmwide.
• Promote a solutions-oriented compliance culture that supports responsible growth and innovation in private markets.

Bachelor's degree in Finance, Economics, Business, or Law (required). Advanced degree (JD, MBA) or professional certifications (e.g., CFA, CAIA, IACCP) strongly preferred.

• 10+ years of progressive compliance or legal experience in investment advisory, asset management, or private markets, including at least 10 years in a senior leadership role.
• Demonstrated expertise in private credit, CLOs, structured finance, and commercial real estate investing, including oversight of Special Purpose Vehicles (SPVs).
• Proven success leading compliance programs at firms managing both public and private assets.

• Deep knowledge of SEC regulations, the Investment Advisers Act of 1940, and compliance best practices across alternative and private asset classes.
• Familiarity with LSTA guidance or similar frameworks governing loan market participation and structured credit.
• Ability to guide SPV structuring and administration to ensure regulatory compliance and fiduciary standards.
• Strong collaboration with investment, legal,…