Compliance Director Jobs

About The Position

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 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.

Nice To Haves

• An advanced degree or relevant professional credentials.

Responsibilities

• Build and lead a national asset management regulatory compliance practice focused on RIAs, private fund advisers, exempt reporting advisers, and institutional investment managers.
• Set 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 offerings, including outsourced and co-sourced compliance, annual compliance program reviews, regulatory filings, testing and monitoring, mock examinations, remediation, and specialized regulatory advisory.
• Manage pipeline, bookings, revenue, utilization, engagement economics, client retention, and profitable growth; establish practice operating metrics and reporting.
• Build referral channels 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 deliver integrated solutions to investment management clients.
• Represent the practice as its senior market-facing leader and build relationships with CCOs, general counsel, CFOs, COOs, founders, boards, and investment professionals.
• Lead prospect discovery, assess regulatory and operational needs, scope engagements, prepare proposals, negotiate fees, and close business.
• Expand client relationships by identifying related compliance, risk, governance, cybersecurity, data, and operational needs.
• Build market visibility through thought leadership, regulatory updates, webinars, conferences, industry associations, and targeted 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 Parts 1 and 2, schedules, disclosure reporting pages, brochures, annual and interim amendments, state notice filings, registrations, and regulatory renewals.
• Design, implement, test, and improve 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—including hedge, private equity, venture capital, private credit, real estate, infrastructure, and funds-of-funds managers—on adviser- and fund-level compliance obligations.
• Lead or oversee Form PF data collection, validation, reconciliation, review, and filing, including information on fund structure, exposures, leverage, liquidity, counterparties, financing, and investors.
• 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 placement memoranda, limited partnership agreements, subscription materials, side letters, investor letters, DDQs, and other fund disclosures for consistency with compliance practices and regulatory expectations.
• Advise on custody-related requirements, annual audits and audited financial statement delivery, as well as Form D, blue-sky, beneficial ownership, AML/KYC, ERISA, and CFTC/NFA considerations where applicable.
• Establish standardized methodologies, workpapers, templates, review protocols, escalation criteria, service-level expectations, and quality-control processes for recurring compliance services.
• 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 the 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.

Benefits

• Comprehensive compensation and benefits package for eligible employees.