Chief Compliance Officer (VP / SVP)

Job Type: Location Type: Not Specified

 

Job Description
A U.S.-based, SEC-registered asset management firm is seeking an experienced Chief Compliance Officer to lead its end-to-end compliance function across equities, fixed income, and futures. Reporting directly to the President, this role plays a critical part in supporting the firm’s next phase of growth, including expansion of U.S. and global client acquisition.

Key Responsibilities

• Own and administer the firm’s compliance program under the Investment Advisers Act of 1940
• Manage regulatory filings, including Form ADV (Parts I & II) and ongoing amendments
• Conduct annual compliance risk assessments and maintain policies, procedures, and Code of Ethics
• Lead SEC examinations and serve as the primary regulatory contact
• Oversee surveillance, internal controls, employee certifications, and firmwide compliance training
• Review and approve advertising and marketing materials in compliance with Rule 206(4)-1
• Support global asset-raising activities through contract review, disclosures, and governance
• Collaborate closely with international headquarters, internal audit, risk, and investment teams
• Ensure effective business continuity planning and best execution oversight

Requirements

Required

• 10+ years of compliance experience at an SEC-registered RIA (prior CCO experience preferred)
• Deep knowledge of U.S. SEC regulations and ability to independently manage regulatory interactions
• Native-level English communication skills (written and verbal)
• Strong compliance judgment, leadership, and policy-writing capabilities
• Business-oriented, solutions-driven mindset

Preferred

• Experience with Aladdin or similar OMS/compliance monitoring systems
• Experience in global or cross-border organizations; Japanese or bilingual experience a plus

Compensation

• Base salary range: $180,000-$220,000, commensurate with experience

Benefits

A full benefit, PTO, Health and Dental insurance. 401K, Bonus, etc