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Chief Compliance Officer (VP / SVP)

BizTek People, Inc. | APA International Placement Consultants

New York, NY

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JOB DETAILS
SALARY
$180,000–$220,000 Per Year
SKILLS
Advertising, Asset Management, Business Continuity Planning (BCP), Communication Skills, Contract Review, Customer Acquisition, English Language, Fixed Income Investments, Futures, Internal Audit, Investment Services, Japanese Language, Leadership, Maintain Compliance, Marketing, Multilingual, Policy Development, Presentation/Verbal Skills, Registered Investment Advisor (RIA), Regulations, Regulatory Submissions, Risk, Risk Analysis, Securities and Exchange Commission (SEC), Surveillance, Writing Skills
LOCATION
New York, NY
POSTED
2 days ago
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
  • 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

About the Company

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BizTek People, Inc. | APA International Placement Consultants