Director of Compliance / Head of Compliance – Private Equity (CCO Track)

About the Company

• Established, institutional middle-market private investment firm with a long-standing track record and a highly engaged LP base.
• Multi-strategy platform spanning flagship private equity, private credit, and technology investing, with continued growth planned over the coming years.
• Boston HQ with a significant New York presence; collaborative, “one team” culture with high standards and strong internal relationships.

About the Group (Legal & Compliance)

• Lean, high-impact Legal & Compliance function led by the firm’s General Counsel.
• The team is business-facing and closely integrated with Investment, Investor Relations, and Operations—especially in periods of active fundraising and increased marketing activity.
• The role will have 1–2 direct reports initially (plus third-party vendors) and requires a hands-on operator who can also function strategically and scale the program as the firm grows.
• For the right individual, the seat can be scoped and titled at CCO level from day one; alternatively, the firm is open to a Director-level leader with clear runway to CCO as the platform expands. In both scenarios, the hired individual will head up the compliance function for the firm.

Responsibilities

• Own day-to-day leadership of the compliance program and supervise the compliance function, including team management and development.
• Act as the senior compliance partner to business groups—provide practical guidance, navigate gray areas, and deliver clear, well-reasoned responses where needed.
• Maintain final approval for marketing and investor communications, including fundraising materials and related disclosure governance.
• Lead preparation and maintenance of Form ADV and oversee Form PF filings and related private fund reporting obligations.
• Drive the annual compliance review process end-to-end, including documentation, findings, remediation planning, and program enhancements.
• Oversee the annual compliance program cycle (training, attestations, policy refreshes, annual compliance meetings) and ensure consistent execution across teams.
• Manage the compliance monitoring/testing program, including oversight of internal testing and externally performed testing.
• Coordinate targeted reviews, mock exams, and exam-readiness work with outside consultants; track remediation and evidence of closure.
• Oversee compliance systems and vendors, including ComplySci administration/governance, workflow effectiveness, and vendor management.
• Monitor and document investment allocation controls and related governance; partner with Investment/Operations to ensure controls are practical and well-documented.
• Support LP and counterparty diligence (DDQs, on-site/virtual diligence discussions, periodic program reviews) and ensure a consistent, high-quality external compliance narrative.
• Stay current on regulatory developments, exam trends, and enforcement priorities; translate changes into pragmatic updates to policies, procedures, and controls as the platform evolves (including potential future product complexity such as 40 Act / BDC considerations).

Qualifications

• Progressively responsible investment adviser compliance experience within private funds and/or multi-strategy asset management (private equity and/or private credit strongly preferred).
• Demonstrated ownership of a mature compliance program (or major components of it), including marketing review, conflicts, allocations, training, testing, vendor oversight, and exam readiness.
• Direct experience leading or materially owning Form ADV and Form PF processes; strong command of the adviser regulatory framework and private fund compliance expectations.
• Strong stakeholder management and EQ—credible with senior leadership and able to influence across functions; comfortable being the “go-to” compliance advisor.
• Proven ability to operate hands-on in a lean environment while also setting direction, building infrastructure, and scaling a program over time.
• Experience managing compliance technology (e.g., ComplySci) and third-party vendors/consultants; able to improve workflows and increase program efficiency.
• JD is beneficial but not required; candidates may come from in-house compliance leadership, private funds counsel/compliance counsel backgrounds, or regulator-to-industry paths.

Compensation, Structure, and Logistics

• Target compensation: Competitive base salary (DOE) + ~25% bonus target.
• Potential for longer-term upside through future co-invest and/or carry/investment participation (structure and timing dependent; not typically immediate day-one).
• Flexible start timing to accommodate year-end bonus cycles where appropriate.