Chief Compliance Officer

Overview

• Lead compliance operations for a dynamic asset management firm, ensuring adherence to regulatory standards and supporting strategic business objectives.
• Collaborate with executive leadership to design and implement comprehensive compliance frameworks across diverse investment strategies.
• Oversee regulatory filings, including Form ADV updates, ensuring accuracy and timely submissions.
• Develop and maintain robust internal compliance controls, risk assessments, and training programs to foster a culture of compliance.
• Serve as the primary liaison with regulatory bodies, managing examinations and communications effectively.
• Support global client acquisition efforts through effective governance and regulatory strategies.
• Contribute to business continuity planning and cross-border data management initiatives.
• Provide compliance oversight for advertising reviews, contract negotiations, and investment guideline certifications.

Key Responsibilities & Duties

• Administer the compliance program under the Investment Advisers Act of 1940, identifying risks and enhancing policies.
• Update compliance manuals and oversee the Code of Ethics, ensuring adherence to regulatory requirements.
• Conduct compliance risk assessments and deliver firmwide training sessions on regulatory topics.
• Monitor internal controls, including electronic communications and portfolio manager certifications.
• Collaborate with investment teams on broker evaluations and best execution reviews.
• Manage regulatory communications, including examinations and compliance reporting.
• Draft and negotiate contracts, ensuring compliance with investment management agreements and regulatory guidelines.
• Attend industry events and conferences to stay updated on compliance trends and practices.

Job Requirements

• Bachelor of Science degree required, with 10+ years of compliance experience at SEC-registered investment advisers.
• Deep knowledge of SEC regulations, including the Investment Advisers Act and Rule 206(4)-7.
• Strong drafting skills for policies, Form ADV, and regulatory reporting.
• Demonstrated leadership and judgment in compliance management and supervisory roles.
• Preferred experience with Aladdin or similar monitoring systems.
• Bilingual English/Japanese capability or cross-cultural organizational experience is advantageous.
• Ability to operate autonomously with high integrity and a solution-focused mindset.
• Familiarity with compliance for advertising reviews and cross-border data management.