Chief Compliance Officer

Inland Real Estate•Oak Brook, IL

About The Position

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.

Requirements

A Bachelor’s degree in Business, Finance or similar field of study from a four-year college or university
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.
FINRA Series 24 required.
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.

Nice To Haves

Masters or Juris Doctorate degree is preferred.
Series 7, 66, or 65 preferred.

Responsibilities

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.
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.
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.
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.