Managing Director, Asset Management Regulatory Compliance

Baker Tilly•Frisco, TX

1d•$182,150 - $345,330

About The Position

Baker Tilly is seeking an entrepreneurial regulatory compliance leader to build and scale a national advisory practice serving SEC-registered investment advisers, private fund managers, exempt reporting advisers, institutional investment managers, and other asset management firms. The practice is part of Baker Tilly’s Managed Services service line and will provide outsourced and co-sourced compliance, regulatory filing, testing, examination readiness, and strategic advisory services across the investment management lifecycle. This is a practice-building position rather than a traditional in-house Chief Compliance Officer role. The National Practice Leader will apply deep knowledge of the Investment Advisers Act of 1940 and the private funds regulatory framework while originating business, developing repeatable offerings, recruiting and leading a team, and managing practice economics. The leader will remain involved in complex client matters while building the delivery model, quality controls, technology, and talent needed to scale the practice. The role leads practice strategy, business development, client advisory and delivery, quality assurance, and team development. Compensation is listed at $182,150–$345,330; actual compensation depends on relevant factors including skills, experience, qualifications, credentials, work arrangements, and location. Baker Tilly offers a comprehensive compensation and benefits package to eligible employees. Work location status should be discussed with a Baker Tilly talent acquisition professional.

Requirements

Bachelor’s degree in finance, accounting, business, law, or a related field.
At least 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 in 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.

Nice To Haves

An advanced degree or relevant professional credentials.
Experience advising hedge, private equity, venture capital, private credit, real estate, infrastructure, funds-of-funds, and other alternative investment managers.

Responsibilities

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 plans, technology strategy, and a multi-year growth roadmap.
Develop recurring and project-based services, including outsourced and co-sourced compliance, annual compliance program reviews, regulatory filings, testing and monitoring, mock examinations, remediation, and regulatory advisory.
Manage pipeline, bookings, revenue, utilization, engagement economics, client retention, and profitable growth; establish practice metrics and reporting.
Build referral relationships with law firms, fund administrators, consultants, custodians, technology providers, financial institutions, and other asset management centers of influence.
Partner with Baker Tilly audit, tax, risk, cybersecurity, technology, and advisory teams to provide integrated solutions.
Serve as the senior market-facing practice leader and develop relationships with CCOs, general counsel, CFOs, COOs, founders, boards, and investment professionals.
Lead prospect discovery, assess regulatory and operating needs, scope engagements, prepare proposals, negotiate fees, and close business.
Expand existing client relationships by identifying adjacent compliance, risk, governance, cybersecurity, data, and operational needs.
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 SEC examination and enforcement priorities.
Lead or oversee Form ADV preparation and updates, disclosure reporting, state notice filings, registrations, and regulatory renewals.
Design, implement, test, and enhance compliance programs, including policies and procedures, risk assessments, annual reviews, compliance calendars, testing plans, exception management, and board or management reporting.
Advise on marketing and performance advertising, books and records, custody and safeguarding, fees and expenses, conflicts of interest, personal trading, pay-to-play, privacy, cybersecurity, electronic communications, business continuity, and vendor oversight.
Review websites, pitchbooks, performance presentations, client and investor communications, disclosures, agreements, and other materials for regulatory consistency and supportability.
Prepare clients for SEC and state examinations; manage document requests, interviews, deficiency responses, remediation plans, and follow-up inquiries.
Advise alternative investment managers on adviser- and fund-level compliance obligations.
Lead or oversee Form PF data collection, validation, reconciliation, review, and filing.
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.
Review private fund offering and investor materials for consistency with compliance practices and regulatory expectations.
Advise on custody-related requirements, annual audits and audited financial statement delivery, and applicable Form D, blue-sky, beneficial ownership, AML/KYC, ERISA, and CFTC/NFA considerations.
Establish standardized methodologies, workpapers, templates, review protocols, escalation criteria, service-level expectations, and quality-control processes.
Select and deploy compliance technology and workflow tools for regulatory calendars, testing, certifications, personal trading, communications review, document retention, surveillance, and client reporting.
Maintain accountability for technical quality, consistency, documentation, and defensibility of client work.
Recruit, develop, and retain a team with expertise in RIA compliance, private funds, regulatory filings, testing, examinations, and compliance operations.
Define roles, career paths, utilization expectations, performance standards, delegation models, and succession plans to scale the practice while maintaining senior-level oversight.