Managing Director, Asset Management Regulatory Compliance

Baker Tilly US

. Build and lead a national asset management regulatory compliance practice focused on RIAs, private fund advisers, exempt reporting advisers, and institutional investment managers .

Posted 10/15/2026full-timeUnited StatesLead💰 $182,150 - $345,330 per yearWebsite

Tech Stack

Tools & technologies

Cyber Security

About the role

Key responsibilities & impact

Build and lead a national asset management regulatory compliance practice focused on RIAs, private fund advisers, exempt reporting advisers, and institutional investment managers
Define target client segments, service offerings, delivery models, pricing, revenue goals, hiring plan, technology strategy, and multi-year growth roadmap
Develop recurring and project-based outsourced/co-sourced compliance, regulatory filing, testing, examination readiness, remediation, and advisory offerings
Own pipeline, bookings, revenue, utilization, engagement economics, client retention, and profitable growth
Build referral channels with law firms, fund administrators, consultants, custodians, technology providers, financial institutions, and other centers of influence
Partner across audit, tax, risk, cybersecurity, technology, and advisory teams to deliver integrated investment management solutions
Serve as senior market-facing leader and develop relationships with CCOs, general counsel, CFOs, COOs, founders, boards, and investment professionals
Lead prospect discovery, diagnose needs, scope engagements, develop proposals, negotiate fees, and close new business
Expand existing relationships through adjacent compliance, risk, governance, cybersecurity, data, and operational services
Build market visibility through thought leadership, regulatory updates, webinars, conferences, industry associations, and executive outreach
Advise clients on the Investment Advisers Act of 1940, SEC rules and guidance, state adviser requirements, and examination and enforcement priorities
Lead or oversee Form ADV and Form PF preparation, review, data governance, and filings
Design, implement, test, and enhance compliance programs, policies, procedures, risk assessments, annual reviews, testing plans, exception management, and reporting
Advise on marketing and performance advertising, books and records, custody, fees and expenses, conflicts, personal trading, pay-to-play, privacy, cybersecurity, communications, business continuity, and vendor oversight
Prepare clients for SEC and state examinations, including document requests, interviews, deficiency responses, remediation plans, and follow-up inquiries
Advise hedge, private equity, venture capital, private credit, real estate, infrastructure, funds-of-funds, and other alternative investment managers
Advise on fund fees and expenses, allocation practices, valuation governance, affiliated transactions, conflicts, side letters, preferential treatment, restricted activities, investor reporting, and governing-document controls
Establish standardized methodologies, workpapers, templates, review protocols, escalation criteria, service-level expectations, and quality-control processes
Select and deploy compliance technology and workflow tools
Maintain accountability for technical quality, consistency, documentation, and defensibility of client work
Recruit, develop, and retain a team across RIA compliance, private funds, filings, testing, examinations, and compliance operations
Define roles, career paths, utilization expectations, performance standards, delegation models, and succession plans

Requirements

What you’ll need

Bachelor's degree in finance, accounting, business, law, or a related field
15 years of investment management regulatory compliance experience, including substantial work with SEC-registered investment advisers and private fund managers
Deep working knowledge of the Investment Advisers Act of 1940, SEC rules and guidance applicable to advisers, and the regulatory framework for private fund advisers
Demonstrated expertise with Form ADV and Form PF preparation, review, data governance, and filing requirements
Hands-on experience designing, testing, and improving adviser compliance programs and supporting SEC examinations and remediation
Demonstrated ability to build or materially grow a compliance, legal, consulting, accounting, or other professional services business serving asset managers
Proven record of originating opportunities, selling advisory services, developing referral relationships, preparing proposals, and expanding senior client relationships
Experience leading professional teams and managing practice economics, including pricing, budgeting, forecasting, staffing, utilization, realization, and profitability
Ability to translate complex regulatory requirements into practical controls, clear executive advice, and scalable client solutions
Advanced degree or relevant professional credentials are a plus

Benefits

Comp & perks

Comprehensive compensation and benefits package to eligible employees