Managing Director Compliance Consulting

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Managing Director, Compliance Consulting
The candidate will participate in business development initiatives that include targeting external clients, attending industry conferences and speaking engagements. Identify new opportunities and proactively develop leads within the asset management sector with specific focus on private investment advisory firms (i.e. Private Equity and Hedge Funds). Develop, manage and maintain client relationships with private investment advisory firms while also identifying and sourcing new opportunities with existing or new clients Oversee client delivery, client interface and practice management. Interact with Senior Management of investment advisory clients on regulatory requirements and issues. Provide technical expertise on complex issues around investment advisory registration, mock examinations, ongoing compliance issues, and reporting. Oversee the drafting of compliance manuals, code of ethics, and client monitoring programs as well as regulatory filings such as Form ADV and Form PF. Stay abreast of relevant regulatory developments. Mentor, develop, and motivate staff at the Director, VP, associate, and analyst levels. Should have 10 years of experience within the legal/regulatory/consulting/professional services capacity focused on regulatory compliance. Bachelor’s degree is required. MBA, JD or equivalent is preferred. Strong knowledge of SEC private fund regulations. Previous regulatory examination experience within FINRA or the SEC, preferred. Extensive business development experience and a strong network within the investment advisory sector. Proven client relationship experience giving advice on regulatory matters and demonstrable strong technical skills in regulatory compliance issues. Demonstrable experience in building and managing project teams to address complex issues. Ability to lead and manage day to day aspects of engagement activities and an ability to work with clients. Excellent written and verbal communication skills that help represent diverse communities. Experience working with diverse team.

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