Senior COE
Senior Code of Ethics Specialist
Compliance Consulting Firm | Remote (U.S.)
Base Salary: $150,000 - $155,000
Bonus: Target 10-15% annual performance bonus
Headquarters: Chicago, IL
About the Role
We are a growing compliance consulting firm headquartered in Chicago, advising clients-particularly within the private equity and investment management space-on ethics, governance, and regulatory compliance. We are seeking a Senior Code of Ethics Specialist to lead complex ethics engagements and serve as a trusted advisor to senior leadership, compliance officers, and legal teams.
This is a fully remote position, offering exposure to sophisticated clients and high‑impact regulatory work.
Key Responsibilities
- Lead the development, enhancement, and ongoing evaluation of corporate codes of ethics and codes of conduct
- Advise private equity firms and investment advisers on ethics program design and regulatory expectations
- Apply deep expertise in the Investment Advisers Act of 1940, including Rule 204A‑1, to client codes of ethics
- Provide subject‑matter leadership on material nonpublic information (MNPI) controls, personal trading programs, conflicts of interest, and gifts and entertainment
- Ensure alignment with SEC guidance, enforcement trends, and industry leading practices
- Partner with compliance, legal, HR, and executive stakeholders to operationalize ethics programs
- Draft and review supporting policies, procedures, disclosures, and employee communications
- Support ethics training, employee certifications, and compliance monitoring initiatives
- Serve as a senior‑level consultant on client engagements and regulatory readiness efforts
- Mentor junior consultants and contribute to firm methodologies and thought leadership
Qualifications
- 8+ years of professional experience in ethics, compliance, or regulatory advisory roles
- Strong working knowledge of the Investment Advisers Act of 1940, Rule 204A‑1, and MNPI requirements
- Demonstrated experience supporting private equity firms, alternative asset managers, or investment advisers
- Prior compliance consulting experience strongly preferred
- Proven ability to draft, implement, and assess codes of ethics for regulated entities
- Experience engaging with senior leadership, compliance officers, and regulators
- Excellent writing, analytical, and client‑management skills
- Bachelor's degree required; advanced degree or certifications (e.g., CCEP, CCEP‑I) a plus
What We Offer
- Competitive base salary of $150,000-$155,000
- Target 10-15% annual performance bonus
- Fully remote work environment
- Exposure to sophisticated private equity and investment management clients
- Collaborative, expert‑driven consulting culture
- Opportunities for leadership, growth, and thought leadership
How to Apply
If you are interested, please upload a resume for consideration.
FAQs
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