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PR/087134 | Chief Compliance Officer
| Location | United States, New York |
| Job Type | Permanent Full-time |
| Salary | Negotiable, based on experience |
Job Description
POSITION SUMMARY
Asset management company is seeking Chief Compliance Officer (CCO) – Vice President or Senior Vice President level in their Midtown office.
Reporting directly to the President in a hybrid environment, this role oversees all compliance functions for an SEC-registered investment adviser. The position covers equities, fixed income, and futures, ensuring robust legal and compliance frameworks to support global asset-raising initiatives.
RESPONSIBILITIES
- Administer annual compliance program under the Investment Advisers Act of 1940.
- File Form ADV Parts I & II and maintain compliance manual and Code of Ethics.
- Conduct annual compliance risk assessments and oversee internal/global compliance meetings.
- Lead SEC communications and manage onsite/remote exams.
- Implement internal controls, monitor logs, and conduct e-communication surveillance.
- Provide quarterly training and ad hoc sessions on compliance topics.
- Oversee broker evaluation, best execution, and BCP testing.
- Review and negotiate contracts (IMA terms, fees, termination clauses).
- Establish compliant processes for advertising reviews and disclosure requirements.
- Collaborate with Tokyo HQ and global teams on governance and audits.
QUALIFICATIONS
- 10+ years of compliance experience at an SEC-registered RIA (CCO experience preferred).
- Deep knowledge of SEC regulations (Investment Advisers Act, Rule 206(4)-7).
- Ability to manage SEC examinations independently.
- Fluent in English (written and verbal).
- Strong policy writing, high integrity, and autonomous judgment.
- Business-oriented, solution-focused mindset.
PREFERRED REQUIREMENTS
- Experience with Aladdin or similar OMS systems.
- Bilingual (English/Japanese) or experience in Japanese organizations/cross-cultural environments.
SALARY
Base: $180,000 – $220,000 /year
BENEFITS
Comprehensive benefits package (health, dental, vision, 401K, and paid time off).
LOCATION
Hybrid role (3 days office and 2 days WFH) based in New York City.
#LI-JACUS #LI-US #countryUS
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General Requirements
| Minimum Experience Level | Over 10 years |
| Career Level | Mid Career |
| Minimum English Level | Native |
| Minimum Japanese Level | None |
| Minimum Education Level | Associate Degree/Diploma |
| Visa Status | No permission to work in Japan required |
Job Location
- United States, New York
Work Conditions
| Job Type | Permanent Full-time |
| Salary | Negotiable, based on experience |
| Industry | Bank, Trust Bank |
