Chief Compliance Officer - Keystone National Group

Chief Compliance Officer

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Keystone National Group ("Keystone"), now part of Virtus Investment Partners, is a private credit investment manager specializing in asset-backed lending and asset-centric credit strategies. With approximately $2.5 billion in assets under management, Keystone brings deep domain expertise built on more than 20 years of investing experience across private credit and real estate. The firm has established a differentiated approach to private markets investing focused on disciplined underwriting, capital preservation, and attractive risk-adjusted outcomes.

Keystone's flagship strategy, the Keystone Private Income Fund (KPIF), is a multi-billion-dollar 1940 Act tender offer fund that provides individual investors access to private credit investments through an evergreen structure. As part of Virtus's multi-boutique model, Keystone maintains investment autonomy while benefiting from the scale, distribution capabilities, and institutional infrastructure of Virtus Investment Partners.

The firm is seeking a highly experienced Chief Compliance Officer to serve as a senior member of Keystone's executive leadership team and oversee all aspects of the firm's compliance program, regulatory governance framework, and risk oversight responsibilities.

The Chief Compliance Officer (CCO) will have primary responsibility for developing, administering, and enhancing Keystone National Group's compliance program across its registered investment adviser and registered investment company activities. This executive will serve as the designated Chief Compliance Officer of the adviser, overseeing Keystone's Regulation D private funds and 1940 Act products and will partner closely with executive leadership, portfolio management, legal counsel, operations, and Virtus corporate functions to ensure adherence to applicable regulatory requirements and industry best practices.

The successful candidate will bring significant experience supporting registered funds, including tender offer funds, interval funds, closed-end funds, and other alternative investment structures governed under the Investment Company Act of 1940. This individual will be expected to operate as both a strategic advisor and hands-on compliance leader capable of navigating a rapidly evolving regulatory environment.

• Serve as the designated Chief Compliance Officer for Keystone's registered investment adviser and applicable registered investment companies.
• Maintain and oversee the firm's compliance program pursuant to Rules 206(4)-7 and 38a-1 under the Advisers Act and Investment Company Act.
• Conduct annual compliance reviews and present findings, risk assessments, and program effectiveness reports to fund boards and senior leadership.
• Develop and maintain compliance policies, procedures, controls, and testing programs.
• Foster a culture of ethics, accountability, and regulatory excellence throughout the organization.

• Provide comprehensive compliance oversight for Keystone's tender offer and other registered fund structures.
• Advise leadership regarding regulatory requirements governing portfolio management, valuation, liquidity, leverage, affiliated transactions, and shareholder reporting.
• Coordinate compliance activities related to board governance, board materials, annual reviews, and regulatory examinations.
• Monitor evolving SEC regulations and assess their impact on fund operations, disclosures, and governance practices.
• Partner with compliance consultants, external counsel and fund service providers to ensure compliance with fund-specific obligations.

• Lead regulatory examinations, inquiries, and information requests from the SEC and other regulatory authorities.
• Oversee enterprise compliance risk assessments and testing programs.
• Monitor personal trading, gifts and entertainment, political contributions, code of ethics compliance, and conflicts of interest.
• Evaluate emerging regulatory developments affecting private credit, alternative investments, and registered funds.
• Recommend and implement enhancements to compliance controls and risk mitigation practices.

• Review marketing, advertising, sales literature, public communications, and investor-related materials for regulatory compliance.
• Partner with distribution, product, and executive leadership to support growth while…