Sandlot Partners

Location: Orem, Utah (Silicon Slopes)

Reports To: General Counsel
Firm Profile: SEC-Registered Private Equity Advisor (~$600M AUM)

Overview

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 equity environment.

Responsibilities:

• Program Oversight: Establish, maintain, and test written policies and procedures required by the Investment Advisers Act of 1940 and related rules.
• Monitoring & Controls: Maintain established monitoring systems for the firm’s adopted compliance manual and code of ethics.
• Regulatory Filings: Lead the timely completion of all periodic filings, including Form ADV.
• Regulatory Liaison: Serve as the primary point of contact for the SEC; lead the firm through regulatory examinations.
• Issue Resolution: Identify, investigate, and appropriately correct escalated compliance issues, ensuring documented remediation.
• Internal Training: Conduct regular compliance training for all firm employees to foster a proactive "culture of compliance."
• Executive Partnership: Maintain positive, transparent communication with senior leadership regarding risk and regulatory updates.
• Vendor Management: Lead and oversee the deliverables of our outside
  compliance consulting team.

Qualifications:

• Experience: 2–4 years of direct compliance experience within an SEC RIA (Private Equity or Private Funds focus preferred).
• Education: Bachelor’s degree required, preferably in finance, accounting, economics, or a related field. JD may offset shorter tenure in compliance-specific roles.
• Regulatory Knowledge: Strong foundational understanding of the Investment Advisers Act of 1940 and related rules.
• Technical Skills: Proficiency with compliance software (e.g., ComplySci) and the FINRA/IARD Gateway. 
• Exam Exposure: Participation in at least one SEC examination or an internal annual review process is a plus.
• Communication: Exceptional written and verbal communication skills; ability to collaborate effectively with experienced investment professionals.
• Certification: IACCP, CSCP, or Series 65 is a plus.

Culture Fit:

• Proactive Ownership: Must be a "self-starter" who monitors regulatory developments (SEC Risk Alerts, speeches, and enforcement actions) without being prompted.
• Discretion: Proven ability to handle highly sensitive information regarding firm performance, investor identities, and potential deal flow.

Compensation & Benefits
We offer a premier compensation package designed to attract and retain top-tier talent in the Intermountain West.

• Salary: commensurate with experience and education
• Annual Bonus: performance-based bonus target
• Exceptional firm-paid health benefits
• 401(k) plan with firm matching
• Flexible time off
• Development: firm paid continuing education and professional compliance certifications

To apply: Please submit your resume and a brief cover letter outlining your experience with Private Fund compliance or SEC exams here: https://sandlotpartners.typeform.com/ccoapp