Chief Compliance Officer (VP / SVP)
$180k - $220kBizTek People, Inc. | APA International Placement Consultants
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
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
- 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
- Experience with Aladdin or similar OMS/compliance monitoring systems
- Experience in global or cross-border organizations; Japanese or bilingual experience a plus
- Base salary range: $180,000-$220,000 , commensurate with experience
Vacancy posted 1 day ago
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