Chief Compliance Officer

Overview

The company is seeking a fractional Chief Compliance Officer to lead compliance work during a private fund offering and provide ongoing monitoring afterward. The role will help ensure offering and marketing materials, filings, and investor communications meet applicable securities and state notice requirements, while reducing regulatory risk during fundraising.

Responsibilities

• Review, edit, and approve offering documents and marketing materials for regulatory compliance.
• Ensure the offering complies with Regulation D Rule 506(c) requirements and advise on structural implications, including the non-registered fund structure and the decision not to establish an investment adviser registration.
• Prepare and file Form D and manage subsequent federal filing requirements.
• Coordinate and complete state securities notice filings, and advise on state-level registration and notice obligations.
• Provide timely compliance guidance during fundraising, including spot checks, document signoffs, and redlines.
• Monitor compliance after closing through periodic reviews of materials, investor communications, and filings.
• Serve as the primary compliance liaison to company leadership, external partners, and fund advisors.
• Document compliance processes and maintain a checklist of filing deadlines and obligations.
• Escalate regulatory issues and advise on any required remedial actions.

Qualifications

• Proven experience managing compliance for private funds or real estate investment funds, as a CCO or in an equivalent role.
• Direct familiarity with Regulation D Rule 506(c) offerings, Form D filings, and state securities notice processes.
• Experience reviewing fund offering materials and marketing for securities compliance risks.
• Demonstrated ability to provide practical, timely guidance in fast-moving fundraising environments.
• Comfortable working fractionally and remotely; able to start promptly and commit to more intensive hours during the initial ramp, followed by lower ongoing weekly support.
• Excellent written and verbal communication skills, with the ability to coordinate with company leadership, external advisors, and third parties.
• Prior fund compliance experience and knowledge of investor onboarding and filings required; real estate fund experience preferred.