Chief Compliance Officer

Chicago, IL | Asset Management / Alternative Investments

The Opportunity

We are partnering with a highly respected, privately held alternative investment firm with a long track record of investing across the U.S. and managing capital on behalf of sophisticated institutional and private investors.

The firm is seeking a Chief Compliance Officer to lead and evolve its compliance function as the organization continues to grow. This is a highly visible opportunity for an experienced compliance professional who wants to operate as a strategic business partner to senior leadership, rather than simply oversee a traditional checklist-driven compliance program. The CCO will have meaningful exposure across the firm and will work closely with executive leadership, investment professionals, legal, operations, finance, and external partners.

The ideal candidate will bring strong knowledge of the RIA and investment management regulatory environment, coupled with the judgment and communication skills to work effectively with sophisticated investment professionals and senior executives.

What You'll Do

• Serve as the firm's senior compliance leader and primary resource for regulatory and compliance matters
• Own and enhance the firm's overall compliance program, policies, procedures, and controls
• Advise senior leadership and investment teams on regulatory requirements, business initiatives, and emerging compliance considerations
• Oversee the firm's compliance framework across areas including the Investment Advisers Act, SEC requirements, conflicts of interest, personal trading, advertising/marketing, code of ethics, and regulatory filings
• Manage the firm's relationship with the SEC and other applicable regulatory bodies, including preparation for and management of regulatory examinations
• Partner closely with Legal, Operations, Finance, Investor Relations, and investment professionals to ensure compliance is integrated into the business
• Evaluate and implement compliance technology, systems, and third-party solutions where appropriate
• Monitor regulatory developments and translate changes into practical recommendations for the organization
• Conduct compliance testing, risk assessments, and ongoing monitoring
• Work with external counsel, consultants, administrators, and other service providers as needed
• Help foster a culture of thoughtful, proactive compliance throughout the organization

What They Are Looking For:

• 10+ years of relevant compliance, legal, regulatory, or risk experience within investment management
• Strong knowledge of the RIA / SEC regulatory environment
• Experience supporting an investment adviser, asset manager, private equity firm, hedge fund, private credit platform, or similarly sophisticated investment organization
• Demonstrated experience building, managing, or significantly enhancing an investment management compliance program
• Experience interacting with the SEC and managing regulatory examinations is highly valued
• Strong understanding of the Investment Advisers Act and related compliance requirements
• Excellent judgment and ability to navigate complex issues with a practical, business-oriented approach
• Strong executive presence and communication skills
• Ability to build credibility and strong relationships with investment professionals and senior executives
• Bachelor's degree required; JD, MBA, CPA, or other relevant advanced credential is a plus

The Equus Group is an Equal Opportunity Employer and takes pride in maintaining a diverse environment. We do not discriminate in recruitment, hiring, training, promotion, or any other employment practices for reasons of race, color, religion, gender, national origin, age, sexual orientation, marital or veteran status, disability, or any other legally protected status.