Chief Compliance Officer

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Job Identification Number: 918

Location: New York, NY 

Job Type: Direct Hire

Job Category: Real Estate

Qualified candidates, please attach resume when applying.


Our client, a leading international developer, is seeking a Chief Compliance Officer in their NYC based office.

The right candidate will have compliance experience with an SEC registered investment advisor, broker-dealer, or mutual fund company. This person should be a self-starter, assertive, confident, and enthusiastic to be part of the management team. This role will own and drive the development and administration of the Asset Management Compliance Program relating to its registration as a Registered Investment Adviser.

Primary Responsibilities:

  • Maintain WSPs, Compliance Policies and Procedures and Code of Ethics and performs regular reviews of compliance manual and related documents as necessary
  • Work with senior management, field leaders to implement and enforce supervisory controls and related processes to ensure early detection and mitigation of potential compliance and supervisory failures
  • Reports significant compliance issues and relevant updates, significant regulatory developments and internal compliance initiatives
  • Coordinates and completes all government, regulatory and other corporate and compliance documents for the organization
  • Prepare and submit annually a written report to SEC; updates and maintains all necessary documentation for SEC examinations of the firm, e.g. the Firm’s Form ADV


Qualifications and Requirements:

  • Bachelor’s Degree required; graduate degree preferred, legal degree a plus.
  • Minimum 5-8 years of compliance experience with an SEC registered investment adviser, broker-dealer or mutual fund company.
  • Familiar with all SEC-registered investment advisor rules and regulations, including the Investment Advisors Act of 1940, and the ability to apply that knowledge strategically in light of changing regulation and business initiatives.
  • Working in an English/Chinese bilingual environment
  • Proven ability to identify, solve and prevent compliance issues