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 – $200,000 /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.
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