Managing Director, Asset Management Compliance

Baker Tilly International; New York (NY); On-site; USD 182,000 - 345,000; Full time

Job summary

Baker Tilly is seeking a Managing Director for Asset Management Regulatory Compliance to lead a nationwide practice serving RIAs, private fund advisers, and institutional managers. The role combines regulatory depth with leadership, business development, and scalable delivery to drive growth and client outcomes.

You will oversee Form ADV and Form PF processes, advise on SEC matters, and shape the offering mix, pricing, and staffing to build a durable compliance services business within Baker

Qualifications

• Bachelor's degree in finance, accounting, business, or law; advanced credentials are a plus.
• 15 years of investment management regulatory compliance experience with SEC-registered advisers.
• Deep knowledge of the Investment Advisers Act of 1940 and related SEC rules.
• Experience with Form ADV and Form PF preparation, review, and filing.

Responsibilities

• Lead a national asset management regulatory compliance practice focusing on RIAs and private fund advisers.
• Define service offerings, pricing, growth plans, and operating metrics for the practice.
• Own pipeline, revenue, utilization, and client retention with scaling plans.
• Develop referral networks across law firms, fund administrators, and financial institutions.
• Manage delivery, quality controls, technology, and a scalable delivery model.
• Advise on adviser and fund-level regulatory obligations and SEC examination readiness.
• Build and lead a team with expertise across RIA compliance and private funds.

Skills

Regulatory compliance

Investment management

Form ADV

Form PF

SEC rules

Leadership

Business development

Proposal writing

Pricing / budgeting

Client relationships

Education

Bachelor's degree

Advanced degree or credentials

Job description

Baker Tilly is seeking a Managing Director for Asset Management Regulatory Compliance to lead a nationwide practice serving RIAs, private fund advisers, and institutional managers. The role combines regulatory depth with leadership, business development, and scalable delivery to drive growth and client outcomes.

You will oversee Form ADV and Form PF processes, advise on SEC matters, and shape the offering mix, pricing, and staffing to build a durable compliance services business within Baker