Chief Compliance Officer -Investment Management

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Chief Compliance Officer - Investment Management
The candidate will be a key member of the firm’sInvestment Management (SIM) law department, and will support registration, new and existing client opportunities, new investment origination and management as well as ensuring compliance with the evolving regulations. Firm Investment Management (SIM) is a recently formed subsidiary of firm who is a wholly owned subsidiary of Sumitomo Life of Japan. Will be supporting the effort for SEC registration of firm’s Investment Management (SIM) as an investment advisor. As a highly collaborative member of the team, will work with other SIM team members as well as various functions within affiliated insurance companies and outside clients. Will support project to transition SIM to an SEC-registered investment advisor, including establishment of detailed policies and procedures and SEC filings. Provide compliance support to fixed income, derivative, real estate and commercial lending programs. Lead all aspects of the compliance function, including performing all of the tasks normally completed by a seasoned investment adviser. Support growing SIM client base and providing excellent service to clients and colleagues. Will report on a day-to-day basis to the Investment Management (SIM) General Counsel.

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