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Chief Compliance Officer
The Inland Real Estate Group of Companies
Oak Brook, IL, USA
Apr 11, 2026
The Head of Compliance is responsible for designing, implementing, and overseeing the firm’s enterprise-wide compliance program for its real estate securities platform. This includes, but is not limited to focus on the RIA, sales, private placements, and SEC regulatory requirements. This role serves as a strategic advisor to executive leadership and business partners, ensuring regulatory compliance while supporting responsible growth across distribution channels. The ideal candidate brings deep experience in SEC compliance, Investment Advisers Act requirements, private real estate offerings, RIA oversight, and sales practices, and is comfortable operating in a fast-paced, highly regulated environment. CORE RESPONSIBILITIES: Demonstrates highest standards of personal and professional integrity, adheres to company’s policies and procedures, and complies with applicable laws, government rules and regulations. Regulatory Oversight & Compliance Program Leadership Advise...
Featured
Compliance Manager
Capital Investment Advisors
Hybrid
Mar 19, 2026
At Capital Investment Advisors (CIA), we strive to help clients reach their goals by focusing on our specialty: Income Investing. We are a fee-only financial advisory and portfolio management firm headquartered in Atlanta with offices throughout the U.S. Our advisors in Georgia, Florida, Colorado, Texas, and Arizona provide clients with a full range of financial advice. Since 1996, CIA has been providing financial strategy and management tailored to the client’s individual circumstances and objectives.    Our tight-knit team brings together compliance professionals, financial advisors, investment associates, client service managers and associates, operations specialists, business development professionals, and marketing team members, all working collaboratively to help deliver an exceptional client experience. Our Leadership Team is dedicated to fostering employee growth both professionally and personally, and to making every CIA experience meaningful and memorable....
Featured
CHIEF COMPLIANCE OFFICER (CCO)
Sandlot Partners
Orem, UT, USA
Mar 19, 2026
CHIEF COMPLIANCE OFFICER (CCO) Location: Orem, UT (Silicon Slopes) Reports To: General Counsel Firm Profile: SEC-Registered Private Equity Advisor (~$600M AUM) ABOUT SANDLOT PARTNERS Sandlot Partners is a private equity firm built around high-conviction investing and a high-touch, relationship-driven model with LPs and founders. Internally, we value speed, accuracy, and an ownership mindset. We’re small by design and expect everyone to operate like a partner. THE OPPORTUNITY We are seeking a high-integrity, detail-oriented Chief Compliance Officer to lead our regulatory program. Reporting directly to the General Counsel with a direct line to senior leadership, the CCO will be responsible for the day-to-day management of our compliance framework, ensuring our firm remains at the forefront of SEC best practices. This is an ideal role for a compliance professional with 2–4 years of experience (or a JD) looking to step into a leadership seat within a sophisticated private...
Senior Compliance Officer
Invesco Ltd.
Downers Grove, IL, USA
Apr 11, 2026
About Invesco As one of the world’s leading independent global investment firms, Invesco is dedicated to rethinking possibilities for our clients. By delivering the combined power of our distinctive investment management capabilities, we provide a wide range of investment strategies and vehicles to our clients around the world. If you're looking for challenging work, intelligent colleagues, and exposure across a global footprint, come explore your potential at Invesco. What’s in it for you? Our people are at the ver y core of our success. Invesco employees get more out of life through our comprehensive compensation and benefit offerings including:   Flexible paid time off Hybrid work schedule  401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution  Health & wellbeing benefits  Parental Leave benefits  Employee stock purchase plan Job Description About...
Sr Trust Compliance Officer
Columbia Bank
Denver, CO, USA
Apr 11, 2026
About the Role: The Sr Trust Compliance Officer – Columbia Private Trust (CPT) is responsible for leading the execution, development, implementation, and maintenance of all assigned responsibilities of Columbia Private Trust’s Compliance Management Program. Acts in a senior leadership role in providing guidance and ensuring execution of other assigned compliance-related projects, tasks, and functions. Prepares reports for various management committees and provides oversight and support in audits and examinations. Defines and upholds rigorous departmental controls and ensures compliance with ERISA law, IRS regulations, and external agency regulators including, but not limited to the FDIC, Oregon Division of Banking, and the SEC.   Responsible for acting in a managerial capacity for the CPT compliance function including the supervision and development of team members. Oversee the development and updating of compliance-related policies, procedures, and supporting documents...
Senior Credit Manager - Global Wealth & Investment Management
Bank of America
Los Angeles, CA, USA
Apr 11, 2026
Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve. Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us! Job...
Intern, Real Estate Investment Management
Caisse de dépôt et placement du Québec (CDPQ)
New York, NY, USA
Apr 11, 2026
Become invested in the community! Join a global investment group and take pride in helping build a sustainable future. At La Caisse: We value your unique contribution to a world-class team. We give you work that allows you to flourish and excel. We offer opportunities to learn from experts who generously share their knowledge. We are fully invested so that you can fulfil our mission every day. Over the years, we have built a strong culture based on four pillars: ambition to push ourselves further, accountability to bring our convictions to life, openness to grow through creative ideas, and collaboration to drive us toward the best outcomes. Job Description * This role will be based in La Caisse’s New York City office.   As an Intern, you will assist the teams in charge of managing La Caisse’s U.S. real estate portfolio. You will contribute to active asset management and investment analysis with the objective, among other things, of enhancing...
SVP, Head of Non-Financial Risk Management (Investment Management)
State Street
Boston, MA, USA
Apr 11, 2026
Senior Vice President, Head of Non-Financial Risk Management (Investment Management) The Senior Vice President, Head of Non-Financial Risk Management, Investment Management is a senior executive responsible for leading Second Line Oversight for Compliance and Operational Risk across the Investment Management (IM) business. Reporting to the Chief Compliance and Operational Risk Officer (CCORO), this role ensures that non-financial risk management strategies, governance and practices effectively identify, assess, mitigate and report on risks, supporting business objectives, fiduciary obligations, and global regulatory requirements. As a member of the Investment Management senior leadership team and broader Non-Financial Risk Management leadership community, this executive serves as a trusted advisor, independent challenge function, and strategic partner to business leadership, enterprise stakeholders, regulators, and governance committees. Key Responsibilities:...
Senior Lead Data Platform Engineer, AVP - State Street Investment Management
State Street
Boston, MA, USA
Apr 11, 2026
State Street Investment Management Data, Analytics & AI Services (DAAIS) is seeking an experienced AVP, to join our Boston office. This role is responsible for the production maintenance & support and stability for critical data platforms at State Street Investment Management. The role manages daily operations, resolves issues promptly, and coordinates enhancement and data extract requests. The position also serves as a liaison among business users, technology, and downstream data consumers, ensuring compliance with regulatory and data governance standards. Why This Role Is Important Data platforms are central to State Street Investment Management’s ability to serve clients, meet regulatory obligations, and run daily investment operations. The AVP role in this space ensures these platforms remain stable, trusted, and continuously improving, while protecting the firm from unnecessary operational and regulatory risk. Responsibilities: Maintenance & Support...
Director (AVP) - Investment Management Operations
Morgan Stanley
New York, NY, USA
Apr 10, 2026
We’re seeking someone to join The Investment Management Operations group supporting the equity, fixed income, ETF, liquidity and alternative businesses for Morgan Stanley Investment Management (MSIM), providing middle-office services including portfolio manager support, client services, portfolio transitions, market registration, product data and performance and attribution analysis. MSIM Operations also provides mutual fund support, derivative processing, and counterparty and credit event management. In the Operations division, we partner with business units across the Firm to support financial transactions, devise and implement effective controls and develop client relationships. This is a Team Specialist position at Director level within Product Support & Services, which is responsible for providing transaction support and managing post execution processes. Morgan Stanley is an industry leader in financial services, known for mobilizing capital to help governments,...
Chief Compliance Officer, Kraken Adviser LLC
Jobgether
USA
Apr 10, 2026
This position is posted by Jobgether on behalf of a partner company. We are currently looking for a Chief Compliance Officer, Kraken Adviser LLC in the United States. This senior leadership role is responsible for shaping and overseeing a comprehensive compliance program that ensures adherence to federal and state securities regulations, including the Investment Advisers Act. The Chief Compliance Officer (CCO) serves as the primary liaison with regulators and acts as a trusted advisor to the executive team on compliance, fiduciary duties, and risk management. You will lead the development and enforcement of policies, supervise regulatory filings, and drive a culture of compliance across the organization. This position demands a balance of strategic oversight, hands-on program management, and executive-level stakeholder engagement, all within a fast-paced, innovative fintech environment. Deep knowledge of investment adviser regulations, strong judgment, and the ability to...
Index and Strategic Partnerships, Senior Associate - State Street Investment Management
State Street
Boston, MA, USA
Apr 10, 2026
State Street Investment Management is one of the world’s largest and most respected asset managers, entrusted with over $5 trillion in assets. For more than 30 years, we’ve helped shape the future of investing through a disciplined, research-driven approach and a powerful global platform that spans every major asset class, investment style, and market segment across both active and index strategies. As the investment management arm of State Street Corporation, a global financial services leader, we serve many of the world’s most sophisticated investors Our Index and Strategic Partnerships team sits at the intersection of innovation, influence, and execution. We are responsible for managing and expanding State Street’s most critical B2B relationships - those that drive growth, unlock new markets, and shape the future of our business. These partnerships are global in scope, multi-dimensional in structure, and strategically vital to our long-term success. They span across executive...
Investment Management Product Manager, Senior Specialist
Vanguard
Malvern, PA, USA
Apr 10, 2026
Core Responsibilities 1. Leads digital product management activities for multiple digital products, or one strategic product, with cross-divisional impact. 2. Influences and collaborates with cross-functional teams to create best practices that drive significant change to the client experience. Ensures business outcomes are linked to business case drivers. 3. Coaches digital product teams towards best practices and learnings. Oversee's digital product teams' support of the messaging, communication, and customer outreach as necessary. 4. Facilitates strong business support through working with team members to promote a consistent approach to decisions/impacts and client propositions. Drives connection across all appropriate internal and external stakeholders. 5. Leads the planning, development and implementation of new products with cross-divisional impact. Defines and analyzes markets, developing detailed product features and requirements, and developing implementation plans....
Business Support Manager II - Global Wealth & Investment Management
Bank of America
Charlotte, NC, USA
Apr 10, 2026
Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve. Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!   Job...
Portfolio Manager, Investment Management
Associated Bank
Madison, WI, USA
Apr 10, 2026
At Associated Bank we strive to create an inclusive culture where different perspectives are valued and recognized as strengths critical to our success. If you thrive in an environment where your growth and development are encouraged and supported, then Associated Bank may be the right place for you. Associated Bank requires you to directly represent yourself and your own experiences during the recruiting and hiring process. Associated Bank conducts a thorough background check on all new hires. Associated Bank is seeking an experienced Portfolio Manager to manage complex investment portfolios for agency and fiduciary accounts within Associated Trust Company, N.A. In this role, you will partner directly with clients to develop tailored investment strategies while overseeing significant assets under management in a risk-controlled environment. This is a high-impact opportunity to influence portfolio performance, contribute to investment strategy, and collaborate with a team...
Credit Underwriter II - Global Wealth & Investment Management
Bank of America
Pennington, NJ, USA
Apr 10, 2026
Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve. Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!   Job...
Client Relationship Manager, AVP - State Street Investment Management
State Street
Boston, MA, USA
Apr 09, 2026
the Defined Contribution (DC) Intermediary team, which is part of our US Wealth organization, and supports both our Direct and Recordkeeping businesses as well as the National Accounts and RIA Aggregator coverage model. The role blends Relationship Management and National Accounts support responsibilities, with approximately 50% of time focused on client relationship management and 50% supporting national account execution, with a longer ‑ term path to owning a defined set of smaller accounts/clients. This individual will collaborate closely with internal partners across sales, investments, finance, operations, and data teams to support growth, improve data integrity, and ensure a strong end ‑ to ‑ end client experience across the DC Intermediary landscape. Key Responsibilities Support client relationships across SSIM’s Direct Business, Recordkeeping platforms, and National Accounts, developing a strong understanding of SSIM’s investment capabilities, operating...
Vice President, Market Data Strategy & Vendor Management, VP I - State Street Investment Management
State Street
Boston, MA, USA
Apr 09, 2026
State Street Investment Management is seeking a Vice President, Market Data Strategy & Vendor Management to work collaboratively across Investment Management business units and with partners across Procurement, Finance and Legal teams at State Street Bank and Trust Company enterprise, ensuring the effective management and administration of market data services. This role will report into the Head of Index Market Data and will play a critical role in supporting the market data procurement and ongoing management lifecycle, with an initial focus on Index market data and ESG data responsibilities. The VP will operate as a trusted partner to senior stakeholders across State Street Investment Management and the broader enterprise, helping to drive transparency, commercial discipline, and strategic vendor outcomes. The successful candidate will be highly resourceful, intellectually curious, and motivated to drive change  — combining strong market data expertise with analytical rigor,...
Principal Data Platform and Software Engineering, VP - State Street Investment Management
State Street
Quincy, MA, USA
Apr 09, 2026
About the job State Street Investment Management’s Data, Analytics & AI Services (DAAIS) team is seeking a Senior Principal, Data Platform & Software Engineering (Vice President) for our Boston office. This role is accountable for the architecture, engineering delivery, and operational excellence of modern data platform and software capabilities that enable the investment management business. The successful candidate will bring deep hands-on expertise in data platform architecture, containerized services, data pipeline engineering, and software application development, along with proven leadership experience in the financial services industry. Key Responsibilities Lead an agile engineering team to deliver solutions that address evolving business and client needs. Partner with global teams to deliver cross-border initiatives and continuously improve engineering standards and best practices. Coach and mentor engineers, promoting a culture of continuous learning,...
Sr. Data Product Management and Execution Manager, VP - State Street Investment Management
State Street
Quincy, MA, USA
Apr 09, 2026
About the job State Street Investment Management Data, Analytics & AI Services (DAAIS) team is seeking a highly accomplished Senior Data Product and Execution Manager, Vice President to join our Boston office. This senior role is responsible for driving the delivery of advanced data product solutions that support our client coverage and product business. The ideal candidate will possess extensive hands-on experience in client coverage and product management data domains, product lifecycle execution, data pipeline development, and team leadership within the financial services sector. Responsibilities: Lead an agile product manager, data analyst, and engineering team in a matrix organization to deliver innovative solutions that address evolving business and client requirements. Collaborate with global teams to execute cross-border projects and continuously enhance best practices in data product solutions. Mentor and develop junior data product manager, data analyst,...
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Chief Compliance Officer

The Inland Real Estate Group of Companies
Apply Now
Oak Brook, Illinois, United States
Apr 11, 2026
Compliance

The Head of Compliance is responsible for designing, implementing, and overseeing the firm’s enterprise-wide compliance program for its real estate securities platform. This includes, but is not limited to focus on the RIA, sales, private placements, and SEC regulatory requirements. This role serves as a strategic advisor to executive leadership and business partners, ensuring regulatory compliance while supporting responsible growth across distribution channels.

The ideal candidate brings deep experience in SEC compliance, Investment Advisers Act requirements, private real estate offerings, RIA oversight, and sales practices, and is comfortable operating in a fast-paced, highly regulated environment.

CORE RESPONSIBILITIES:

  • Demonstrates highest standards of personal and professional integrity, adheres to company’s policies and procedures, and complies with applicable laws, government rules and regulations.
  • Regulatory Oversight & Compliance Program Leadership
    • Advise and direct senior management and staff on all issues concerning compliance rules, regulations and procedures.
    • Oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, policies, training, annual testing, Anit-Money Laundering (AML) and Anti-Financial Crime (AFC) compliance.
    • Lead and maintain the firm’s compliance program in accordance with SEC, FINRA, and applicable state regulations, including oversight of real estate securities offerings.
    • Serve as primary compliance authority for RIA distribution, ensuring adherence to the Investment Advisers Act of 1940 and related SEC rules.
    • Oversee compliance policies and procedures, including annual reviews, updates, and enhancements to address regulatory changes and business growth.
    • Act as the primary point of contact for regulatory examinations, audits, and inquiries (SEC, FINRA, state regulators), including preparation and response management.
  • RIA, Sales & Distribution Compliance
    • Provide compliance oversight and guidance related to sales and marketing of private real estate securities through RIAs and broker-dealer channels.
    • Review and approve offering materials, sales literature, presentations, and marketing content to ensure compliance with SEC advertising, solicitation, and disclosure requirements.
    • Advise sales, investor relations, and business development teams on compliant sales practices, compensation structures, and communications with RIAs and investors.
    • Monitor RIA relationships, due diligence processes, and ongoing compliance obligations.
  • Policies, Training & Risk Management
    • Develop and deliver compliance training programs for employees, including RIA-specific sales practices, conflicts of interest, and fiduciary obligations.
    • Oversee compliance risk assessments, testing, and surveillance related to securities offerings, sales activity, and investor communications.
    • Identify, escalate, and remediate compliance issues, including potential regulatory violations or conflicts of interest.
    • Partner with Legal, Finance, Operations, and Executive leadership to proactively manage compliance risk and support strategic initiatives.
  • Leadership & Strategic Advisory
    • Serve as a trusted advisor to senior leadership on regulatory risk, new product development, and distribution strategies.
    • Stay current on regulatory developments impacting real estate securities, private funds, and RIA distribution models, and translate changes into actionable guidance.
    • Act as the company liaison with trade associations, regulations, SEC and FINRA.
    • Lead and mentor compliance staff or external consultants as applicable.
  • Other duties as assigned.

 

SUPERVISORY RESPONSIBILITY:

  • This position directly supervises the ISC Compliance team.
  • This position indirectly supervises the following positions and/or department(s): All FINRA registered Sales staff in Inland Securities Corporation.

QUALIFICATIONS:

Education:

  • A Bachelor’s degree in Business, Finance or similar field of study from a four-year college or university
  • Masters or Juris Doctorate degree is preferred.

 

Experience:

  • 10-15 years of compliance experience in financial services, with significant exposure to real estate securities, private placements, and sales.
  • Building out a compliance infrastructure for an RIA
  • Strong working knowledge of SEC regulations, including the Investment Advisers Act, SEC advertising rules, and private offering exemptions.
  • Experience interacting with regulators and managing SEC or FINRA examinations.
  • Demonstrated ability to balance regulatory rigor with business partnership.

 

Certifications/Licenses:

  • FINRA Series 24 required.
  • Series 7, 66, or 65 preferred.

Skills:

  • Strong regulatory judgment and attention to detail.
  • Executive-level communication, influence, and presentation skills.
  • Superior writing and analytical skills.
  • Ability to operate independently and make risk-based decisions.
  • Practical, solutions-oriented mindset.
  • High ethical standards and professionalism.
  • Intermediate proficiency in Microsoft Office Suite and ability to learn new tools quickly.


Annual Base Salary Range: $300,000-$350,000.  This position is eligible to participate in the company’s annual discretionary bonus program.     

Inland offers a competitive range of benefits for eligible Full-time employees:

  • Medical/Dental/Vision insurance (PPO)
  • Participation in the company 401(k) plan with a company match
  • Vacation Time, Nine Paid Holidays, Three floating holidays per year
  • Sick time
  • Tuition reimbursement opportunity
  • Company-paid life insurance equaling your annual base salary
  • Company-paid short-term and long-term disability
  • Paid Parental Leave

This position is eligible as an internal promotion opportunity.
 
To learn more about the Benefits Inland offers its employees please click the link to learn more. 


We are a drug-free workplace. Pre-employment background checks and drug screening is performed on all new hires, in accordance with applicable laws and regulations.  


We are an Equal Opportunity Employer. We consider applicants for all positions without regard to race, color, religion, sex, national origin, age, sexual orientation, familial, marital or veteran status, disability, or any other legally protected classes.   
 
We are an E-Verify employer. Please click the following link to learn more.

About The Inland Real Estate Group of Companies
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