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Managing Director Compliance Consulting
Experience
10 yrs required
Location
Los Angeles, CA, United States
Posted on
Dec 06, 2022
Profile
Managing Director, Compliance Consulting
The candidate will participate in business development initiatives that include targeting external clients, and attending industry conferences and speaking engagements. Will identify new opportunities and proactively develop leads within the asset management sector with a 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.
Company info
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