Fractional Chief Compliance Officer, Alternative Investments
Overview
You will design and oversee compliance programs for hedge funds, private equity firms, and family offices across a project-based advisor network. Own regulatory strategy, examinations, and governance at scale, with no origination duties. Join Arootah's curated network of 700+ operators in the alternatives industry. Your work directly shapes client outcomes in SEC compliance and risk management.
What You'll Do8
- 1Build compliance programs for alternative investment clients, covering SEC regulations and internal policies.
- 2Lead regulatory examinations and audits, coordinating with counsel and regulators end to end.
- 3Advise on marketing rules, reporting, and governance best practices to ensure full adherence.
- 4Conduct risk assessments and policy reviews, delivering actionable recommendations to leadership.
- 5Partner with C-suite teams to strengthen operational controls and governance frameworks.
- 6Manage compliance infrastructure, including service providers and monitoring systems, for ongoing oversight.
- 7Support institutional due diligence processes, preparing documentation and responding to investor queries.
- 8Drive client engagements from kickoff to delivery, adapting to shifting priorities with speed.
Requirements8
- 15+ years as a Chief Compliance Officer or senior compliance leader in a hedge fund, private equity firm, or family office.
- 2Deep understanding of SEC regulations, regulatory reporting, and marketing rules for alternative investments.
- 3Proven record designing and managing compliance programs for registered and unregistered funds.
- 4Strong leadership skills with experience advising boards and senior partners on compliance matters.
- 5Hands-on expertise in compliance reviews, risk assessments, and internal policy development.
- 6Familiarity with regulatory examination processes and institutional due diligence requests.
- 7Excellent communication and stakeholder management, with ability to operate independently.
- 8Relevant certifications such as Certified Anti-Money Laundering Specialist (CAMS) are a plus.
Salary Insight
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