What are the responsibilities and job description for the Chief Compliance Officer position at Sandlot Partners?
CHIEF COMPLIANCE OFFICER (CCO)
Location: Orem, UT (Silicon Slopes)
Reports To: General Counsel
Firm Profile: SEC-Registered Private Equity Advisor (~$600M AUM)
ABOUT SANDLOT PARTNERS
Sandlot Partners is a private equity firm built around high-conviction investing and a high-touch, relationship-driven model with LPs and founders. Internally, we value speed, accuracy, and an ownership mindset. We’re small by design and expect everyone to operate like a partner.
THE OPPORTUNITY
We are seeking a high-integrity, detail-oriented Chief Compliance Officer to lead our regulatory program. Reporting directly to the General Counsel with a direct line to senior leadership, the CCO will be responsible for the day-to-day management of our compliance framework, ensuring our firm remains at the forefront of SEC best practices. This is an ideal role for a compliance professional with 2–4 years of experience (or a JD) looking to step into a leadership seat within a sophisticated private equity environment.
CORE RESPONSIBILITIES
- Program Oversight: Establish, maintain, and test written policies and procedures required by the Investment Advisers Act of 1940 and related rules.
- Monitoring & Controls: Maintain established monitoring systems for the firm’s adopted compliance manual and code of ethics.
- Regulatory Filings: Lead the timely completion of all periodic filings, including Form ADV.
- Regulatory Liaison: Serve as the primary point of contact for the SEC; lead the firm through regulatory examinations.
- Issue Resolution: Identify, investigate, and appropriately correct escalated compliance issues, ensuring documented remediation.
- Internal Training: Conduct regular compliance training for all firm employees to foster a proactive "culture of compliance."
- Executive Partnership: Maintain positive, transparent communication with senior leadership regarding risk and regulatory updates.
- Vendor Management: Lead and oversee the deliverables of our outside compliance consulting team.
QUALIFICATIONS
- Experience: 2–4 years of direct compliance experience within an SEC RIA (Private Equity or Private Funds focus preferred).
- Education: Bachelor’s degree required, preferably in finance, accounting, economics, or a related field. JD may offset shorter tenure in compliance-specific roles.
- Regulatory Knowledge: Strong foundational understanding of the Investment Advisers Act of 1940 and related rules.
- Technical Skills: Proficiency with compliance software (e.g., ComplySci) and the FINRA/IARD Gateway.
- Exam Exposure: Participation in at least one SEC examination or an internal annual review process is a plus.
- Communication: Exceptional written and verbal communication skills; ability to collaborate effectively with experienced investment professionals.
- Certification: IACCP, CSCP, or Series 65 is a plus.
CULTURAL FIT
- Proactive Ownership: Must be a "self-starter" who monitors regulatory developments (SEC Risk Alerts, speeches, and enforcement actions) without being prompted.
- Discretion: Proven ability to handle highly sensitive information regarding firm performance, investor identities, and potential deal flow.
COMPENSATION & BENEFITS
We offer a premier compensation package designed to attract and retain top-tier talent in the Intermountain West.
- Salary: commensurate with experience and education
- Annual Bonus: performance-based bonus target
- Exceptional firm-paid health benefits
- 401(k) plan with firm matching
- Flexible time off
- Development: firm paid continuing education and professional compliance certifications