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Alpha Global Search LLC · 18 hours ago

Chief Compliance Officer - Investment Management

New York, NY

Full-time

Onsite

Director/Executive

$180K/yr - $220K/yr

10+ years exp

Alpha Global Search LLC is an established investment management firm seeking a Chief Compliance Officer to lead its U.S. compliance function. The CCO will oversee compliance across various investment domains and support global client acquisition initiatives through robust regulatory frameworks.

Staffing & Recruiting

Hiring Manager

Yasuko Kawasaki

Responsibilities

Administer the compliance program on an annual basis in accordance with the Investment Advisers Act of 1940, including identifying potential risks and implementing policy and procedural enhancements to mitigate those risks

File Form ADV Parts I and II annually, as well as amendments for material changes throughout the year (Part III not applicable at this time)

Update and maintain the compliance manual and related exhibits in accordance with applicable laws and regulations

Oversee the Code of Ethics, including initial and annual holdings certifications, review of new account certifications, and approval of personal securities transactions

Conduct the firmwide annual compliance risk assessment

Preside over internal compliance meetings, participate in monthly global compliance meetings, and submit required compliance reports to the parent company

Deliver quarterly firmwide compliance training and ad-hoc educational sessions on relevant regulatory and industry topics

Oversee internal controls, including monitoring office access logs, gifts and entertainment logs, remote access reports, portfolio manager and trader certifications, and compliance attestations

Conduct monthly electronic communications surveillance to identify potential insider trading or suspicious activity using Bloomberg monitoring tools and SharePoint systems

Support and assist with the compliance portion of internal audits conducted by the parent company

Collaborate with investment divisions on semi-annual broker evaluations, best execution reviews, and related activities

Conduct and monitor Business Continuity Planning (BCP) exercises twice annually and ensure effectiveness during any BCP activation

Draft and submit semi-annual certifications to the parent company confirming adherence to fund investment guidelines

Distribute monthly certifications to portfolio managers and traders confirming compliance with investment guidelines

Attend relevant compliance conferences, webinars, and industry events as appropriate

Lead regulatory communications with the SEC, including managing onsite and remote examinations

Establish and maintain compliant processes for Rule 206(4)-1 advertising reviews, multi-channel content oversight, and disclosure requirements

Review and negotiate contracts, including investment management agreements (IMA), fee and expense provisions, termination clauses, and suitability language

Provide governance oversight for cross-border data management and record-keeping

Communicate regularly with the President regarding significant or unusual matters

Conduct scheduled trade checks in support of Tokyo headquarters

Perform additional duties and responsibilities as assigned by the President

Qualification

SEC compliance experienceInvestment Advisers Act knowledgeRegulatory reporting skillsAladdinOMS experienceBilingual English/JapaneseSupervisory leadershipDraftingBusiness-oriented mindsetHigh integrityWriting skills

Required

10+ years of compliance experience at an SEC-registered investment adviser (prior CCO experience strongly preferred)

Deep knowledge of SEC regulations, including the Investment Advisers Act and Rule 206(4)-7, with the ability to independently manage SEC examinations and regulatory interactions

Native-level English proficiency (written and verbal)

Demonstrated compliance judgment and supervisory leadership

Strong drafting and writing skills for policies, Form ADV, and regulatory reporting

High integrity, independence, and ability to operate autonomously

Business-oriented, solution-focused mindset with a practical approach to regulatory challenges