Managing Director, Asset Management Regulatory Compliance
Core
Build and scale a national advisory practice for asset management regulatory compliance, serving SEC-registered investment advisers and private fund managers with outsourced and co-sourced services.
Role type
Senior IC practice leader (regulatory compliance)
Builds
Outsourced and co-sourced compliance, regulatory filing, testing, examination readiness, and strategic advisory services
Domain
Asset management, regulatory compliance, investment advisory
Deliverable
client delivery
Required skills
Regulatory compliance strategy, business development, team leadership, practice economics, client relationship management, SEC rules expertise
Preferred skills
Thought leadership, market expansion, cross-functional partnership
Technologies
Compliance management systems, regulatory filing platforms
Responsibilities
Define target client segments, service offerings, delivery models, pricing, revenue goals, hiring plan, and technology strategy; Lead prospect discovery, diagnose regulatory needs, scope engagements, develop proposals, negotiate fees, and close new business; Advise clients on Investment Advisers Act of 1940, SEC rules, and state adviser requirements; Lead or oversee Form ADV filings, compliance program design, testing, and remediation.
