Chief Compliance Officer

Chief Compliance Officer(Vice President / Senior Vice President) for a Japanese Investment & Asset Management Firm

• Location: New York City (Hybrid)
• Reporting Line: Direct report to President
• Scope: U.S. Compliance (Equities / Fixed Income / Futures)

Our client is seeking a seasoned Chief Compliance Officer (CCO) to join a Japanese investment management and asset-management firm at a pivotal stage of global expansion.

Reporting directly to the President and working within a nimble, collaborative team in a hybrid NYC environment
, this role has full end-to-end ownership of the U.S. compliance function across equities, fixed income, and futures
. The CCO will play a critical role in enabling global client acquisition by building and maintaining robust legal and compliance frameworks.

As the firm accelerates initiatives to attract assets from U.S. and other global clients, this position will be instrumental in designing, implementing, and operating the compliance infrastructure required to support sustainable growth.

• Strategic impact – Report directly to the President; influence strategy and execution
• End-to-end ownership – Full responsibility for the annual compliance program, risk assessments, Form ADV, surveillance, and training
• Global collaboration – Partner closely with Tokyo HQ Compliance, Internal Audit, and Risk teams while building practical U.S. controls
• Expanded scope – Support global asset-raising activities (advertising, contracting, disclosures)
• Modern toolkit – Experience with Bloomberg, Microsoft Teams, and Aladdin is highly valued

• Administer the firm’s annual compliance program in accordance with the Investment Advisers Act of 1940
  , including risk identification and mitigation through policies and procedures
• Prepare, file, and amend Form ADV Parts I and II
  ; monitor and address material changes throughout the year
• Maintain and update the Compliance Manual and Code of Ethics
  , including employee certifications, personal trading approvals, and new account reviews
• Conduct the firm-wide annual compliance risk assessment
• Lead internal compliance meetings; participate in monthly global compliance meetings; submit required reports to the parent company
• Deliver quarterly firm-wide training and ad hoc education on regulatory and compliance topics
• Oversee internal controls, including office access logs, gifts and entertainment, remote access reports, PM/trader certifications, and compliance attestations
• Conduct monthly electronic communications surveillance (Bloomberg and SharePoint) to identify insider trading or suspicious activity
• Support compliance components of internal audits conducted by the parent company
• Partner with Investment teams on broker reviews, best execution analysis
  , and related activities (semi-annually)
• Conduct and monitor Business Continuity Planning (BCP) exercises twice per year; ensure effectiveness during activation
• Draft and submit semi-annual compliance confirmation letters to DAMCO
• Manage monthly PM and trader certifications confirming adherence to fund investment guidelines
• Participate in relevant compliance conferences, webinars, and industry events
• Lead SEC communications and manage onsite and remote examinations
• Establish compliant processes for Rule 206(4)-1 advertising reviews
  , multi-channel content oversight, and disclosure requirements
• Review and negotiate contracts (IMAs, fee and expense clauses, termination, suitability)
• Provide governance for cross-border data and records management

• Communicate significant or unusual matters directly to the President
• Conduct scheduled trade checks in support of Tokyo HQ
• Perform additional duties as assigned by the President

Required

• 10+ years of compliance experience at an SEC-registered RIA (CCO experience strongly preferred)
• Deep expertise in SEC regulations, including the Investment Advisers Act and Rule 206(4)-7
• Proven ability to independently manage SEC examinations and regulatory interactions
• Excellent English communication skills (written and verbal)
• Strong compliance judgment, supervisory capability, and ethical leadership
• Exceptional writing skills for policies, ADV filings, and regulatory reports
• Business-oriented, solution-focused mindset (“How do we make this work?”)

Preferred

• Experience with Aladdin or similar OMS/monitoring systems
• Bilingual English/Japanese and/or experience working within Japanese organizations or cross-cultural environments