Chief Compliance Officer (VP / SVP)

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