Compliance Officer

Compliance Officer

Leading Alternative Investment Manager | Chicago, IL (Hybrid)

Compensation

• Base Salary: $165,000–$220,000
• 20-30% bonus
• Comprehensive Benefits Package

Work Model

• 3 days per week in-office
• Chicago, IL

Company Overview

We are partnering with a leading global alternative investment manager with a diversified platform serving institutional investors through a broad range of private investment strategies. The firm has experienced significant growth over the past decade and continues to expand its Legal & Compliance organization to support a sophisticated regulatory environment, complex investment structures, and evolving compliance requirements. The organization is known for its collaborative culture, investment in employee development, and commitment to operational excellence while providing meaningful opportunities for long-term career advancement.

The Opportunity

This is a newly created Compliance Officer position within the Legal & Compliance Department supporting a sophisticated alternative investment platform. The successful candidate will combine regulatory expertise with hands-on execution, helping oversee the firm's day-to-day compliance program while partnering closely with Legal, Operations, Investor Relations, and senior business leadership. The position offers broad exposure to investment adviser compliance, regulatory filings, marketing review, compliance testing, policy development, and strategic regulatory initiatives within a highly respected investment organization.

Key Responsibilities

Regulatory Compliance

• Monitor and test regulatory compliance controls across the organization
• Manage regulatory filings and ongoing compliance reporting requirements
• Evaluate compliance risks and recommend enhancements to internal control frameworks
• Stay current on regulatory developments and assess business impacts
• Support regulatory examinations and compliance readiness initiatives

Compliance Program Oversight

• Develop, enhance, and implement compliance policies and procedures
• Execute monitoring and testing programs for regulatory requirements
• Investigate compliance issues and recommend practical solutions
• Support enterprise compliance initiatives and special projects
• Assess control effectiveness and recommend process improvements

Marketing & Communications Review

• Review marketing materials, investor communications, presentations, and advertising content for regulatory compliance
• Ensure communications meet applicable regulatory standards and internal policies
• Partner with business teams to resolve compliance questions related to external communications

Risk Management & Business Partnership

• Serve as a trusted compliance advisor to internal business partners
• Collaborate with Legal, Operations, Finance, Investor Relations, and senior leadership
• Provide guidance on regulatory matters affecting investment activities
• Assist with implementation of new regulatory requirements across the organization

Project Leadership

• Lead policy updates driven by changing regulatory requirements
• Manage compliance-related projects from planning through implementation
• Coordinate with external advisors and internal stakeholders on strategic initiatives
• Support ongoing enhancements to the firm's compliance infrastructure

Ideal Candidate Profile

• Bachelor's degree required
• JD preferred but not required
• 8 years of compliance experience within investment management or financial services
• Strong working knowledge of the Investment Advisers Act of 1940 and/or Investment Company Act of 1940
• Experience supporting registered investment advisers, private funds, business development companies, or alternative investment managers
• Strong understanding of corporate governance, regulatory compliance, and risk management
• Excellent project management and organizational skills
• Outstanding written communication and document review abilities
• Ability to analyze complex regulatory matters and provide practical business guidance
• Strong executive presence with the ability to build relationships across all levels of an organization

Preferred Backgrounds

• Alternative Investment Managers
• Private Credit
• Private Equity
• Asset Management
• Hedge Funds
• Registered Investment Advisers
• Business Development Companies (BDCs)
• Financial Services Compliance
• Regulatory Consulting
• Securities Law Practices

Why This Opportunity

• Newly created role supporting a sophisticated and growing compliance organization
• Broad exposure to regulatory strategy, compliance oversight, governance, and risk management
• Highly visible position partnering directly with Legal leadership and senior business executives
• Opportunity to work on complex regulatory matters within an expanding alternative investment platform
• Collaborative culture with strong investment in employee development and internal advancement
• Competitive compensation, comprehensive benefits, and flexible hybrid work environment