Chief Compliance Officer

Chief Compliance Officer (CCO) - National Society of Compliance Professionals

Reports To: General Counsel Firm Profile: SEC-Registered Private Equity Advisor (~$600M AUM)

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.

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.

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.

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.

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 sensit...