Chief Compliance Officer - NLG Capital

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.

Primary Responsibilities

• 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, and 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.

Qualifications

• 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.

AI Proficiency Expectations

• All applicants are expected to leverage approved AI tools, where appropriate, to improve the efficiency, quality, and impact of their work.
  • Stay curious and open to new AI-enabled ways of working.
  • Exercise sound judgment by reviewing and validating AI-generated content.
  • Maintain accountability for the accuracy, quality, fairness, and integrity of work products by adhering to National Life’s AI guiding principles.
  • Use AI responsibly and in accordance with company policies related to confidentiality, data privacy, security, compliance, retention and intellectual property.

Pay Range

$206,250 - $302,500 USD

Additional Compensation and Benefits

The total compensation package for this position may also include a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. The successful candidate may also be eligible to participate in National Life’s discretionary annual incentive programs, subject to the rules governing such programs. If hired, the employee will be in an "at-will position" and National Life reserves the right to modify base salary (as well as any other discretionary payment or compensation or benefit program) at any time, including for reasons related to individual performance, company or individual department/team performance, and market factors.

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