Actus Consulting Group, Inc. - Japanese Recruiting Agency · 1 week ago
Chief Compliance Officer- RIA( VP or SVP)
New York, NY
Full-time
Hybrid
Director/Executive
$180K/yr - $220K/yr
10+ years expActus Consulting Group, Inc. is a Japanese Asset Management company seeking a Chief Compliance Officer- RIA( VP or SVP) in New York City. This role involves leading compliance efforts across various financial instruments and collaborating with global teams to ensure robust legal and compliance frameworks are in place.
Human ResourcesRecruitingStaffing Agency
Responsibilities
Administer the compliance program on an annual basis according to the Investment Advisers Act of 1940. This includes, but is not limited to, identifying possible risks and implementing changes in policy and procedures to effectively mitigate those risks
File the Form ADV, Part I and II annually, and any further amendments pertaining to material changes throughout the year. Part III is not applicable to our business at this time
Update and maintain the compliance manual and its exhibits in accordance with applicable law. Oversee the Code of Ethics, including but not limited to, obtaining initial and annual holding certifications, and reviewing new account certifications and approving personal security transactions
Conduct the compliance risk assessment for the firm on an annual basis
Preside over the internal compliance meeting, participate in the global compliance meeting on a monthly basis and submit all applicable compliance reports to our parent company
Conduct quarterly firm wide training and ad hoc educational sessions on various hot topics
Charged with oversight of the with internal controls and monitor the office access log, gift and entertainment log, remote access reports, portfolio manager and trader certifications, and compliance certifications
Conduct E‐communication surveillance on a monthly basis to identify insider trading and/or any suspicious activity through our Bloomberg monitoring system as well as the SharePoint system
Assist with the compliance portion of the internal audit conducted by our parent company
Collaborate with the Investment Divisions to conduct the broker evaluation process on a semi‐annual basis, best execution and similar activities
Conduct and monitor BCP twice a year. Ensure BCP is operating effectively and efficiently during BCP activation
Draft and submit the semi‐annual letter to confirming adherence to the investment guidelines of the funds
Send out portfolio manager and trader notifications on a monthly basis to certify adherence to the investment guidelines of the funds
Attend compliance conferences, webinars, etc. when they are available and relevant to the business
Lead SEC communications and manage onsite/remote exams
Establish compliant processes for Rule 206(4)‐1 advertising reviews, multi‐channel content oversight, and disclosure requirements
Contract review/negotiation (IMA terms, fees/expense clauses, termination, suitability)
Governance for cross border data/records
Communicate with President and report everything important/unusual things
Conduct trade check in support of Tokyo HQ as scheduled
Perform any other duties and responsibilities as assigned by President
Qualification
Required
10+ years of compliance experience at an SEC registered RIA (CCO experience preferred)
Deep knowledge of SEC regulations (Investment Advisers Act, Rule 206(4)‐7) with ability to independently manage SEC examinations and regulatory interactions
Business level English (written and verbal)
Proven compliance judgment and supervisory leadership
Strong writing for policies/ADV/reports; high integrity and autonomy
Business‐oriented, solution‐focused mindset (“How to make it work?”)
Preferred
Experience with Aladdin or similar monitoring/OMS systems
Bilingual (English/Japanese) and/or Japanese organization or cross‐cultural environments
Benefits
Health
Dental
Vision
PTO
Retirement plan
Holiday pay and others
Company
Actus Consulting Group, Inc. - Japanese Recruiting Agency
🌐 Actus Consulting is a trusted recruitment partner specializing in cross-cultural and bilingual talent acquisition.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Takeo Suzuki
President & CEO
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