Nikko AMA is the New York City-based affiliate of Nikko Asset Management Group covering North and South American business initiatives. Compliance is a strategic partner, providing guidance and advisory for business development and growth initiatives.As Vice President, Compliance Manager and direct report to the Chief Compliance Officer, my responsibilities include:- Management of the Investment Compliance Program (Bloomberg AIM). - Management of the US Compliance Program, Annual Compliance Plan and Rule 206(4)-7 Reviews. - Management of regulatory reporting, including advisory for Nikko Group U.S. reporting obligations (Form ADV, 13H, 13G, 13F, CTA-PR, Form D, Lobbyist Filings). - Management of Compliance governance and oversight reporting (Board of Directors, Compliance Oversight Committee, Best Execution Committee, Risk Committee), including key client, stakeholder and due diligence meetings. - Management of compliance reviews of sales and marketing materials (pitch books, RFPs, DDQs, WhitePapers and media appearances).- Providing guidance and advisory to global affiliates on US regulatory developments, requirements and best practices, including subject matter expertise for ‘40 Act and other US investment vehicles. - Providing general guidance and advisory to Senior Management, including the Chief Executive Officer, Chief Investment Officer and Investment team (PM, Trading, Ops, etc.), and Chief Operating Officer.- Facilitation of audits and regulatory examinations, including multiple regulatory examinations (SEC and NFA) and internal audits. - Support of operational risk and cybersecurity initiatives (NIST, NFA, SEC), in close collaboration with Head of Risk and Head of IT.

-Recruiting and scheduling 250+ volunteers for 15 summer programs -Lead orientation, training, and safety management for all volunteers -Evaluating volunteers seeking future employment-Coordinator and Onsite Director for Town-wide Special Events-Written and received $250 Grant from The Youth and Family Advisory Board to purchase volunteer uniforms, two consecutive years (2015, 2016)-Manage picnic and beach reservations-Supervisor to Beach Employees: 10 Lifeguards and 15 Sticker Booth Attendants-Update and reconcile daily cash logs for beach operations-Issues and records camp registration and various permit sales -Safety Management-Produce and direct skits and improvisations that introduces youth to theatre -Direct 8 employees and volunteers in a classroom of 40+ students-Create new weekly programs that continually improve camp quality