Senior Compliance Officer

Job TitleSenior Compliance Officer/ Assistant General CounselLocation: Wheaton, IL (Onsite)Compensation: $120K-150K+ Bonus DOESkills: Private Fund Offerings, Alternative Investments, Reg BI, REITs, DSTs, tender/interval funds, co-investment vehicles, PPMs, SEC and FINRA rules and regulationsWe are a registered broker-dealer that needs an experienced Senior Compliance Officer or Assistant General Counsel to join our team. If you have 5+ years of compliance oversight of private fund offerings and alternative investments, then this may be a perfect fit for you!In this role, you will: Oversee alternative investment private offering platform processes for offering private funds (Reg D, 506(c)).Ensure suitability analysis and Reg BI compliance for investors.Provide compliance oversight for non-traded REITs, DSTs, tender/interval funds and co-investment vehicles.Review PPMs, fund offering documents, and marketing materials for compliance with SEC/FINRA rules.Must Have Skills:FINRA licenses: Series 24 required. Series 7/63/66 strongly preferred.5-10+ years in broker-dealer or securities compliance with emphasis on private funds.Strong knowledge of Reg D, FINRA Rules 2111/2210/5122-5123, and Reg BI.Bachelor's degree.Nice to Have Skills: Experience with non-traded REITs, DSTs, private offerings and investments, and closed-end funds.Excellent document review and communication skills.

Created: 2026-05-09