National Life Group
Chief Compliance Officer
Please note that we do not offer visa sponsorship for this position.
Job Summary The Chief Compliance Officer (CCO) will lead and oversee the compliance program for NLG Capital, Inc. (the Firm), an SEC-registered investment adviser within the National Life Group family of companies. This senior leadership role is responsible for preparing and executing a forward‑looking compliance strategy that ensures adherence to regulatory standards while enabling the Firm’s continued growth across various asset markets—including CLO management, private credit, asset‑backed finance, and commercial real‑estate investment strategies.
Strategic Compliance Leadership
Define and execute a comprehensive compliance strategy aligned with NLG Capital’s growth priorities, including private credit, CLO management, asset‑backed finance, commercial real‑estate and other private markets; partner with leadership to ensure compliance frameworks enable business objectives while maintaining regulatory integrity and investor confidence; provide proactive guidance on compliance risks, regulatory developments and industry trends—particularly those shaping private and alternative investments; build and maintain a governance framework that spans both traditional insurance investments and private asset platforms.
Regulatory Oversight & Relationship Management
Serve as the primary point of contact for the SEC and other regulatory bodies, overseeing examinations, inquiries and communications; ensure the timely and accurate completion of all regulatory filings (e.g., Form ADV, Rule 206(4)-7 annual reviews) and Board reporting; monitor and interpret new and evolving regulations affecting investment activities, including private credit, structured finance and real‑estate investment activities, ensuring the Firm remains prepared and compliant.
Program Development & Execution
Lead the design, implementation and continuous improvement of the Firm’s compliance program, with specific focus on CLO management, private lending and SPV oversight; oversee investment compliance monitoring across public and private assets, ensuring that policies, investment mandates and client restrictions are consistently met; partner with investment and operations teams to develop compliance controls around credit underwriting, borrower diligence and collateral management; leverage data analytics and technology to streamline compliance monitoring and enhance transparency in private asset structures.
Risk Management & Oversight
Collaborate with Legal, Risk, Operations and Investments to integrate compliance within the Firm’s broader risk management framework; identify and address emerging compliance risks associated with illiquid investments, valuation practices and complex deal structures.
Leadership & Culture
Build and lead a high‑performing compliance team with expertise across both private and traditional investment strategies; foster a culture of integrity, accountability and transparency across all levels of the organization; provide mentorship, training and thought leadership to enhance compliance knowledge and engagement firmwide.
Promote a solutions‑oriented compliance culture that supports responsible growth and innovation in private markets.
Education Bachelor’s degree in Finance, Economics, Business, or Law (required). Advanced degree (JD, MBA) or professional certifications (e.g., CFA, CAIA, IACCP) strongly preferred.
Experience
10+ years of progressive compliance or legal experience in investment advisory, asset management or private markets, including at least 10 years in a senior leadership role; demonstrated expertise in private credit, CLOs, structured finance and commercial real‑estate investing, including oversight of Special Purpose Vehicles (SPVs); proven success leading compliance programs at firms managing both public and private assets.
Skills
Deep knowledge of SEC regulations, the Investment Advisers Act of 1940 and compliance best practices across alternative and private asset classes; familiarity with LSTA guidance or similar frameworks governing loan market participation and structured credit; ability to guide SPV structuring and administration to ensure regulatory compliance and fiduciary standards; strong collaboration with investment, legal and operations teams on fund terms, credit agreements and side letters; expertise in compliance oversight for lending practices, credit underwriting and borrower monitoring; excellent leadership, communication and relationship management skills, with the ability to engage effectively with regulators, auditors and senior leadership.
Benefits
Your benefits start day one and are flexible and customizable to your and your family’s specific needs. Check out the BENEFITS of a Career at National Life!
The base salary range for this role is between $220,000 – $315,000 annually. We are open to varying levels of experience.
Base compensation ranges $220k-$315k, with potential bonuses, commissions and long-term incentive compensation. National Life offers a competitive total rewards package including 401(k) match, medical, dental, vision, wellness account, 10 paid holidays, paid parental leave, and more.
Equal Opportunity Employer This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.
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Job Summary The Chief Compliance Officer (CCO) will lead and oversee the compliance program for NLG Capital, Inc. (the Firm), an SEC-registered investment adviser within the National Life Group family of companies. This senior leadership role is responsible for preparing and executing a forward‑looking compliance strategy that ensures adherence to regulatory standards while enabling the Firm’s continued growth across various asset markets—including CLO management, private credit, asset‑backed finance, and commercial real‑estate investment strategies.
Strategic Compliance Leadership
Define and execute a comprehensive compliance strategy aligned with NLG Capital’s growth priorities, including private credit, CLO management, asset‑backed finance, commercial real‑estate and other private markets; partner with leadership to ensure compliance frameworks enable business objectives while maintaining regulatory integrity and investor confidence; provide proactive guidance on compliance risks, regulatory developments and industry trends—particularly those shaping private and alternative investments; build and maintain a governance framework that spans both traditional insurance investments and private asset platforms.
Regulatory Oversight & Relationship Management
Serve as the primary point of contact for the SEC and other regulatory bodies, overseeing examinations, inquiries and communications; ensure the timely and accurate completion of all regulatory filings (e.g., Form ADV, Rule 206(4)-7 annual reviews) and Board reporting; monitor and interpret new and evolving regulations affecting investment activities, including private credit, structured finance and real‑estate investment activities, ensuring the Firm remains prepared and compliant.
Program Development & Execution
Lead the design, implementation and continuous improvement of the Firm’s compliance program, with specific focus on CLO management, private lending and SPV oversight; oversee investment compliance monitoring across public and private assets, ensuring that policies, investment mandates and client restrictions are consistently met; partner with investment and operations teams to develop compliance controls around credit underwriting, borrower diligence and collateral management; leverage data analytics and technology to streamline compliance monitoring and enhance transparency in private asset structures.
Risk Management & Oversight
Collaborate with Legal, Risk, Operations and Investments to integrate compliance within the Firm’s broader risk management framework; identify and address emerging compliance risks associated with illiquid investments, valuation practices and complex deal structures.
Leadership & Culture
Build and lead a high‑performing compliance team with expertise across both private and traditional investment strategies; foster a culture of integrity, accountability and transparency across all levels of the organization; provide mentorship, training and thought leadership to enhance compliance knowledge and engagement firmwide.
Promote a solutions‑oriented compliance culture that supports responsible growth and innovation in private markets.
Education Bachelor’s degree in Finance, Economics, Business, or Law (required). Advanced degree (JD, MBA) or professional certifications (e.g., CFA, CAIA, IACCP) strongly preferred.
Experience
10+ years of progressive compliance or legal experience in investment advisory, asset management or private markets, including at least 10 years in a senior leadership role; demonstrated expertise in private credit, CLOs, structured finance and commercial real‑estate investing, including oversight of Special Purpose Vehicles (SPVs); proven success leading compliance programs at firms managing both public and private assets.
Skills
Deep knowledge of SEC regulations, the Investment Advisers Act of 1940 and compliance best practices across alternative and private asset classes; familiarity with LSTA guidance or similar frameworks governing loan market participation and structured credit; ability to guide SPV structuring and administration to ensure regulatory compliance and fiduciary standards; strong collaboration with investment, legal and operations teams on fund terms, credit agreements and side letters; expertise in compliance oversight for lending practices, credit underwriting and borrower monitoring; excellent leadership, communication and relationship management skills, with the ability to engage effectively with regulators, auditors and senior leadership.
Benefits
Your benefits start day one and are flexible and customizable to your and your family’s specific needs. Check out the BENEFITS of a Career at National Life!
The base salary range for this role is between $220,000 – $315,000 annually. We are open to varying levels of experience.
Base compensation ranges $220k-$315k, with potential bonuses, commissions and long-term incentive compensation. National Life offers a competitive total rewards package including 401(k) match, medical, dental, vision, wellness account, 10 paid holidays, paid parental leave, and more.
Equal Opportunity Employer This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.
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