Chief Compliance Officer

Chief Compliance Officer | Greater Chicago Area

Hybrid

250-300k base DoE

Our client, a sophisticated investment management firm, is seeking an experienced Chief Compliance Officer to join its team in the Greater Chicago area. This is a senior-level opportunity for a compliance professional with deep experience in investment management, securities regulation, and fund operations.

The Chief Compliance Officer will oversee the firm’s compliance program while partnering closely with senior leadership on regulatory, corporate, investment fund, and general legal matters.

Key Responsibilities:

• Oversee and administer the firm’s compliance program
• Manage annual regulatory filings, testing, risk assessments, and conflicts reviews
• Monitor regulatory developments and implement appropriate policy and procedural updates
• Coordinate regulatory audits, reviews, and examinations
• Review marketing materials, investor presentations, and due diligence questionnaires
• Support investment fund, transaction, and portfolio company matters
• Advise senior leadership on compliance and general corporate matters
• Partner with regulators, outside counsel, and compliance consultants
• Conduct and oversee internal compliance reviews and investigations
• Assist with contracts and other legal matters as needed

Qualifications:

• 8–10+ years of relevant experience within an investment management firm and/or law firm
• Strong knowledge of asset management, securities markets, and private investment funds
• Fund operations experience required
• Experience overseeing compliance programs and regulatory matters
• Strong communication skills with the ability to advise senior-level stakeholders
• JD preferred, but not required

Additional Information:

Personal Time Off (PTO) is offered on an accrual basis up to 184 hours a year, 13 Paid Holidays, and up to 6 weeks of Paid Parental Leave. PTO and holiday hours are prorated based on hire date within the calendar year.

Paid Sick Leave

Benefit offerings for full-time employment include medical, dental, vision, term life and AD&D insurance, short-term and long-term disability, additional voluntary benefits, commuter benefits, wellness plans, and a 401k plan

Annual discretionary bonus based on individual performance

Equal Opportunity Employer/Veterans/Disabled

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The Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as applicable:

• The California Fair Chance Act

• Los Angeles City Fair Chance Ordinance

• Los Angeles County Fair Chance Ordinance for Employers

• San Francisco Fair Chance Ordinance