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