Chief Compliance Officer - NLG Capital

Chief Compliance Officer - NLG Capital

Addison, TX; Montpelier, VT

Come join one of America's fastest-growing insurance companies. Since 1848, National Life Group has aimed to keep our promises, providing families with stability in good times and in bad. Throughout that history, we have provided peace of mind to those families as they plan their futures.

Our mission extends beyond the insurance and annuities policies that we offer. We strive to make the world a better place through our grants from our charitable foundation, paid volunteer time for our employees, environmentally sustainable and healthy workplaces, and events that promote the work of nonprofits in our own backyard.

We foster a collaborative environment with opportunities for growth and encourage our associates to live our values: Do good. Be good. Make good.

Job Summary

The Chief Compliance Officer (CCO) will lead and oversee the compliance program for NLG Capital, Inc. (the Firm), an SEC-registered investment adviser within the National Life Group family of companies. This senior leadership role is responsible for preparing and executing a forward-looking compliance strategy that ensures adherence to regulatory standards while enabling the Firm's continued growth across various asset marketsincluding CLO management, Private Credit, Asset-Backed Finance, and Commercial Real Estate investment strategies.

The CCO will partner closely with the Firm's leadership team, Board and Legal team to integrate compliance across both traditional insurance asset management and the Firm's expanding private markets platform. This position plays a critical role in supporting NLG Capital's strategic shift from public to private assets, providing practical, solutions-oriented compliance guidance that supports innovation while maintaining strong governance and fiduciary standards.

Primary Responsibilities

Strategic Compliance Leadership

• Define and execute a comprehensive compliance strategy aligned with NLG Capital's growth priorities, including private credit, CLO management, asset-backed finance, commercial real estate and other private markets.
• Partner with leadership to ensure compliance frameworks enable business objectives while maintaining regulatory integrity and investor confidence.
• Provide proactive guidance on compliance risks, regulatory developments, and industry trendsparticularly those shaping private and alternative investments.
• Build and maintain a governance framework that spans both traditional insurance investments and private asset platforms.

Regulatory Oversight & Relationship Management

• Serve as the primary point of contact for the SEC and other regulatory bodies, overseeing examinations, inquiries, and communications.
• Ensure the timely and accurate completion of all regulatory filings (e.g., Form ADV, Rule 206(4)-7 annual reviews) and Board reporting.
• Monitor and interpret new and evolving regulations affecting investment activities, including private credit, structured finance, and real estate investment activities, ensuring the Firm remains prepared and compliant.

Program Development & Execution

• Lead the design, implementation, and continuous improvement of the Firm's compliance program, with specific focus on CLO management, private lending, and SPV oversight.
• Oversee investment compliance monitoring across public and private assets, ensuring that policies, investment mandates, and client restrictions are consistently met.
• Partner with investment and operations teams to develop compliance controls around credit underwriting, borrower diligence, and collateral management.
• Leverage data analytics and technology to streamline compliance monitoring and enhance transparency in private asset structures.

Risk Management & Oversight

• Collaborate with Legal, Risk, Operations, and Investments to integrate compliance within the Firm's broader risk management framework.
• Identify and address emerging compliance risks associated with illiquid investments, valuation practices, and complex deal structures.

Leadership & Culture

• Build and lead a high-performing compliance team with expertise across both private and traditional investment strategies.
• Foster a culture of integrity, accountability, and transparency across all levels of the organization.
• Provide mentorship, training, and thought leadership to enhance compliance knowledge and engagement firmwide.
• Promote a solutions-oriented compliance culture that supports responsible growth and innovation in private markets.

Qualifications

Education

Bachelor's degree in Finance, Economics, Business, or Law (required). Advanced degree (JD, MBA) or professional certifications (e.g., CFA, CAIA, IACCP) strongly preferred.

Experience

• 10+ years of progressive compliance or legal experience in investment advisory, asset management, or private markets, including at least 10 years in a senior leadership role.
• Demonstrated expertise in private credit, CLOs, structured finance, and commercial real estate investing, including oversight of Special Purpose Vehicles (SPVs).
• Proven success leading compliance programs at firms managing both public and private assets.

Skills

• Deep knowledge of SEC regulations, the Investment Advisers Act of 1940, and compliance best practices across alternative and private asset classes.
• Familiarity with LSTA guidance or similar frameworks governing loan market participation and structured credit.
• Ability to guide SPV structuring and administration to ensure regulatory compliance and fiduciary standards.
• Strong collaboration with investment, legal, and operations teams on fund terms, credit agreements, and side letters.
• Expertise in compliance oversight for lending practices, credit underwriting, and borrower monitoring.
• Excellent leadership, communication, and relationship management skills, with the ability to engage effectively with regulators, auditors, and senior leadership.

AI Proficiency Expectations

At National Life Group, we view AI as an enabler of human potential. We use AI to help us work smarter, serve more clients, and keep our promises, while remaining a relationship-driven business where our people are our greatest strength.

All applicants are expected to:

• Leverage approved AI tools, where appropriate, to improve the efficiency, quality, and impact of their work.
• Stay curious and open to new AI-enabled ways of working.
• Exercise sound judgment by reviewing and validating AI-generated content.
• Maintain accountability for the accuracy, quality, fairness, and integrity of work products by adhering to National Life's AI guiding principles.
• Use AI responsibly and in accordance with company policies related to confidentiality, data privacy, security, compliance, retention and intellectual property.

Base Pay Range. The base pay range for this position is the range National Life reasonably and in good faith expects to pay for the position taking into account the wide variety of factors, including: prior experience and job-related knowledge; education, training and certificates; current business needs; and market factors. The final salary or hourly wages offered may be outside of this range based on other reasons and individual circumstances. Additional Compensation and Benefits. The total compensation package for this position may also include a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. The successful candidate may also be eligible to participate in National Life's discretionary annual incentive programs, subject to the rules governing such programs. If hired, the employee will be in an "at-will position" and National Life reserves the right to modify base salary (as well as any other discretionary payment or compensation or benefit program) at any time, including for reasons related to individual performance, company or individual department/team performance, and market factors. National Life is accepting applications for this role on an ongoing basis and the role remains open until filled.

Salary Pay Range

$206,250 - $302,500 USD

National Life Group is a trade name of National Life Insurance Company, Montpelier, VT founded in 1848, Life Insurance Company of the Southwest, Addison, TX chartered in 1955, and their affiliates. Each company of National Life Group is solely responsible for its own financial condition and contractual obligations. Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other entities are independent of the companies of National Life Group.

Fortune 1000 status is based on the consolidated financial results of all National Life Group