PR/087134 | Chief Compliance Officer

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.

• 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.

• 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.
   

• Experience with Aladdin or similar OMS systems.
• Bilingual (English/Japanese) or experience in Japanese organizations/cross-cultural environments.