Director, Compliance

Purpose and Job Summary:

ORIX Corporation USA ("OCU") is seeking a Director, Compliance to join the Legal and Compliance Team in our New York office. The candidate will be responsible for helping with the administration of the regulatory compliance program for the three registered investment advisers ("RIAs") within OCU. In addition, the candidate will work with the OCU Legal and Compliance team on compliance matters as part of the broader OCU enhanced compliance program.

Essential Duties and Responsibilities:

• Create, foster, and oversee the OCU's culture of compliance, including with respect to the RIAs.
• Monitor applicable rules and regulations and update policies and procedures to maintain compliance with the Investment Advisers Act of 1940
• Lead regular compliance testing and monitoring program related to RIA activities as part of 206(4)-7 review
• Provide support to various business teams with respect to compliance matters.
• Work with multiple teams internally including IT, Investor Solutions, Operations, Risk teams and liaise with outside services providers as necessary to monitor and maintain compliance policies and procedures and respond to inquiries from same
• Ensure appropriate systems/enhancements to meet regulatory and compliance obligations across all jurisdictions
• Evaluate existing compliance systems to comply with current regulatory requirements
• Prepare regulatory filings (e.g., Form ADV, Blue Sky, CFTC filings) and work with internal teams relating to regulatory audits and sweeps
• Consult with different committees on product development, implementation of investment strategies and marketing strategies
• Oversee global marketing and investor relations compliance issues including registrations, private placements, and investor communications, including reviewing marketing materials and sales literature to ensure compliance with applicable rules and advising on compliance with various cross-border marketing regulations in various countries across Europe, Asia and the Middle East
• Review compliance reports and exception reports, perform forensic testing, etc. to confirm compliance with policies and procedures
• Stay current with respect to industry trends and changes to regulatory compliance
• Read, analyze, and interpret industry periodicals, professional journals, technical procedures, and industry regulations
• Assist with various projects and matters with other members of the OCU Legal and Compliance teams.

• Experience in illiquid alternatives asset class (in particular private credit and real estate)
• Firm understanding of U.S. laws and regulations relevant to compliance requirements applicable to alternative investments and their management and distribution and the ability to spot global marketing and trading regulatory issues
• Proficiency in Proofpoint (or equivalent email archival system), Microsoft Windows tools, including Word and Excel, and similar systems
• Critical thinker with excellent interpersonal and communication skills, both written and verbal
• Must be able to meet face to face with senior businesspeople and address issues in a competent and timely manner
• Strong organizational skills and detail-oriented
• Ability to manage, prioritize and follow through on numerous projects simultaneously
• Must be articulate and self-motivated, in particular when it comes to understanding of new regulations and business changes
• Entrepreneurial attitude with a desire to work in a collegial, team-first environment
• Ability to effectively present information to groups of peers and managers, including assist with periodic trainings

• Bachelor's degree required (JD preferred)
• A minimum of 8-10 years in-house, buy side alternatives compliance experience at an SEC-registered firm