Managing Director, Asset Management Regulatory Compliance Greater New York City, NY Area + 4 more

The Company is in search of a Managing Director for Asset Management Regulatory Compliance. This role is pivotal in building and scaling a national advisory practice that will serve SEC-registered investment advisers, private fund managers, and other asset management firms. The successful candidate will be responsible for defining and executing the practice's strategy, growth, and economics, as well as for business development and market leadership. Key responsibilities include advising clients on the Investment Advisers Act of 1940, leading the preparation and review of regulatory filings, and designing and enhancing compliance programs. The role demands a leader with a deep understanding of the regulatory framework, a proven track record in originating business, and the ability to lead a professional team while maintaining the highest standards of quality and delivery. Applicants for this role at the company should have a Bachelor's degree in a relevant field, with an advanced degree or professional credentials being a plus. A minimum of 15 years' experience in investment management regulatory compliance, particularly with SEC-registered investment advisers and private fund managers, is required. The ideal candidate will have a strong background in the Investment Advisers Act of 1940, SEC rules and guidance, and the private funds regulatory framework. Experience in practice economics, including pricing, budgeting, and profitability, is essential. The role also requires the ability to translate complex regulatory requirements into practical solutions, and a proven ability to build and lead a team. The Managing Director will be expected to be a market-facing leader, developing and maintaining relationships with key stakeholders in the industry.

Hiring Company

Baker Tilly US