Senior Compliance Officer

Senior Compliance Leader – Private Equity

Base pay range: $/yr - $/yr

Deputy CCO–level role with long-term leadership upside

• Institutional private equity firm with strong performance and continued growth
• Senior, hands‑on compliance role with long‑term leadership upside
• Opportunity to modernize and scale a compliance program
• High‑visibility partnership with investment, IR, and fundraising teams

• Support the CCO in managing the firm‑wide private equity compliance program under the Investment Advisers Act and private funds regulatory regime
• Own day‑to‑day compliance operations, including monitoring, testing, controls, and issue remediation
• Serve as a strategic compliance advisor to investment, fundraising, and investor relations teams
• Lead or support regulatory filings including Form ADV, Form PF, Form D, Blue Sky filings, and other SEC or state requirements
• Assist with annual reviews, mock exams, SEC exam readiness, and preparation of materials for boards and LPs
• Maintain, enhance, and implement compliance policies and the Code of Ethics to reflect evolving regulatory expectations and firm practices
• Conduct ongoing compliance risk assessments and help build scalable processes as the firm continues to grow
• Oversee personal trading, gifts & entertainment, political contributions, and outside business activity reviews
• Review and approve marketing materials, pitchbooks, RFPs, due diligence questionnaires, and other investor materials for accuracy and regulatory alignment
• Partner with teams during fund launches and co‑investment opportunities
• Provide compliance guidance during deal diligence, investment committee processes, and ongoing portfolio monitoring
• Ensure compliance with MNPI controls, information barriers, valuation procedures, and cross‑team communication protocols
• Develop and deliver periodic compliance training across the firm
• Drive enhancements to compliance technology, workflows, and documentation
• Manage and mentor junior compliance staff
• Serve as a thought partner to the CCO, with a view toward longer‑term leadership within the function

• 10+ years of relevant compliance experience within private equity, private credit, or broader alternative asset management (in‑house or consulting)
• Strong working knowledge of the Investment Advisers Act and private funds regulatory environment
• Experience managing or mentoring junior team members preferred
• Comfortable operating in a lean, entrepreneurial environment
• Excellent communication skills, sound judgment, and the ability to influence stakeholders across the firm

This role is best suited for someone who wants to remain hands‑on while stepping into broader leadership responsibility over time.

Director

Full‑time

Legal

Venture Capital and Private Equity Principals and Investment Management