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