Chief Compliance Officer / Deputy General Counsel

Chief Compliance Officer / Deputy General Counsel: Our client, a leading private investment firm is seeking a CCO/DGC to take ownership of its compliance function. This is a highly visible, high-priority hire with direct exposure to senior leadership and a clear mandate to bring structure, accountability, and operational rigor to the firm’s compliance program. This opportunity is well-suited for a high-upside compliance professional who is ready to step into a CCO role or join as a deputy with a defined path to CCO in the near term. The role combines hands-on execution with strategic oversight and offers meaningful breadth across compliance and legal matters.

Key Points

• Opportunity to build and refine compliance processes and infrastructure within a stable fund with strong long-term growth
• Broad role spanning compliance leadership and legal support and working in a collaborative, low-ego culture that values initiative and accountability
• Exposure to technology and AI-driven process improvements
• High profile position with a true seat at the table amongst bright, talented investment and operations professionals

Responsibilities

• Take full ownership of the firm’s compliance program, ensuring it is practical, well-documented, and regulator-ready
• Build, maintain, and improve policies, procedures, and compliance workflows across the organization
• Establish structured processes for tracking, escalation, and resolution of compliance matters
• Oversee regulatory filings, documentation, and ongoing compliance obligations
• Advise on key regulatory requirements impacting investment advisers and private funds
• Monitor and enforce policies related to conflicts of interest, personal trading, MNPI, and code of ethics
• Review and approve investor-facing materials and maintain supporting documentation
• Provide support on commercial agreements and other compliance-adjacent legal matters
• Partner with internal teams and external advisors to ensure effective execution of compliance initiatives

Qualifications

• J.D. with active bar membership
• Experience in investment management compliance, preferably within private equity or alternative asset management
• Demonstrated ability to build or improve compliance programs and processes
• Proactive, hands-on approach with strong ownership and follow-through
• Strong communication skills and ability to engage with senior stakeholders and sound judgment with an ability to balance regulatory requirements with business needs

Compensation: $250K+ base; $500-800K+ all-in

Job Reference #3589531