Industry: Bank/Finance
Location: New York, NY
Salary: $180K - 220K (DOE)
Visa Sponsor: No
Language: English: Business Level, Japanese: Business Level
Detail: Japanese Asset Management company seeks a Chief Compliance Officer- RIA( VP or SVP)- NYC, New York.
Location: NYC （Manhattan）
Salary: $180K-$220K DOE
＊The salary will be determined based on your experience after the interview process.
Benefits: Health, Dental, Vision, PTO, Retirement plan, Holiday pay and others
Employment Type: Full-Time
Industry: Financial Services
“Lead the next growth phase through Compliance”
Reporting directly to the President and working within a nimble team in a hybrid NYC environment, this role owns Compliance end‐to‐end across equities, fixed income, and futures—and plays a pivotal part in enabling global client acquisition through robust legal and compliance frameworks.
Why This Role Is Attractive
⚫ Strategic impact: Report directly to the President; shape decisions and drive execution.
⚫ End to end ownership: Annual program, risk assessments, ADV, surveillance, training—you own the full remit.
⚫ Global collaboration: Work closely with Tokyo HQ Compliance, Internal Audit, and Risk teams while building practical and effective U.S. controls.
⚫ Expanded scope: Provide legal/compliance support for global asset raising (advertising, contracting, disclosures).
⚫ Modern toolkit: Bloomberg/Microsoft Teams/Aladdin experience valued.
Key Responsibilities
⚫ Essential Duties and Responsibilities: 95%
✓ Administer the compliance program on an annual basis according to the Investment Advisers Act of 1940. This includes, but is not limited to, identifying possible risks and implementing changes in policy and procedures to effectively mitigate those risks.
✓ File the Form ADV, Part I and II annually, and any further amendments pertaining to material changes throughout the year. Part III is not applicable to our business at this time.
✓ Update and maintain the compliance manual and its exhibits in accordance with applicable law. Oversee the Code of Ethics, including but not limited to, obtaining initial and annual holding certifications, and reviewing new account certifications and
approving personal security transactions.
✓ Conduct the compliance risk assessment for the firm on an annual basis.
✓ Preside over the internal compliance meeting, participate in the global compliance meeting on a monthly basis and submit all applicable compliance reports to our parent company.
✓ Conduct quarterly firm wide training and ad hoc educational sessions on various hot topics.
✓ Charged with oversight of the with internal controls and monitor the office access log, gift and entertainment log, remote access reports, portfolio manager and trader certifications, and compliance certifications.
✓ Conduct E‐communication surveillance on a monthly basis to identify insider trading and/or any suspicious activity through our Bloomberg monitoring system as well as the SharePoint system.
✓ Assist with the compliance portion of the internal audit conducted by our parent company.
✓ Collaborate with the Investment Divisions to conduct the broker evaluation process on a semi‐annual basis, best execution and similar activities.
✓ Conduct and monitor BCP twice a year. Ensure BCP is operating effectively and efficiently during BCP activation.
✓ Draft and submit the semi‐annual letter to confirming adherence to the investment guidelines of the funds.
✓ Send out portfolio manager and trader notifications on a monthly basis to certify adherence to the investment guidelines of the funds.
✓ Attend compliance conferences, webinars, etc. when they are available and relevant to the business.
✓ Lead SEC communications and manage onsite/remote exams
✓ Establish compliant processes for Rule 206(4)‐1 advertising reviews, multi‐channel content oversight, and disclosure requirements.
✓ Contract review/negotiation (IMA terms, fees/expense clauses, termination, suitability)
✓ Governance for cross border data/records
⚫ Other Duties and Responsibilities: 5%
✓ Communicate with President and report everything important/unusual things.
✓ Conduct trade check in support of Tokyo HQ as scheduled.
✓ Perform any other duties and responsibilities as assigned by President.
Qualifications:
⚫ Required
✓ 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) with ability to independently manage SEC examinations and regulatory interactions
✓ Business level English (written and verbal)
✓ Proven compliance judgment and supervisory leadership
✓ Strong writing for policies/ADV/reports; high integrity and autonomy
✓ Business‐oriented, solution‐focused mindset (“How to make it work?”)
⚫ Preferred
✓ Experience with Aladdin or similar monitoring/OMS systems
✓ Bilingual (English/Japanese) and/or Japanese organization or cross‐cultural
environments
