Chief Compliance Officer (VP / SVP)

BizTek People, Inc. | APA International Placement Consultants•New York, NY

6d•$180,000 - $220,000

About The Position

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.

Requirements

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

Nice To Haves

Experience with Aladdin or similar OMS/compliance monitoring systems
Experience in global or cross-border organizations; Japanese or bilingual experience a plus

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