Managing Director, Asset Management Regulatory Compliance

bakertilly; New York (NY); On-site; USD 320,000 - 650,000; Full time

Job summary

Baker Tilly is seeking a Managing Director for Asset Management Regulatory Compliance to build and scale a national advisory practice serving SEC-registered investment advisers, private fund managers and other asset management firms within Baker Tilly's Managed Services.

This leader will combine deep knowledge of the Investment Advisers Act of 1940 with the commercial discipline to originate business, recruit and lead a team, and own practice economics.

Qualifications

• Extensive knowledge of regulatory requirements in asset management.
• Experience building national advisory practices.
• Strong leadership and recruiting capabilities.
• Familiarity with outsourced/co-sourced compliance services.

Responsibilities

• Build and lead a national asset management regulatory compliance practice.
• Define target client segments, services, delivery models and growth roadmap.
• Develop recurring and project-based offerings (compliance programs, filings, testing, mock exams).
• Own pipeline, bookings, revenue, utilization and engagement economics.

Skills

Regulatory leadership

Business development

Client relationships

Investment Advisers Act

Job description

Overview

Baker Tilly is a leading advisory, tax and assurance firm, providing clients with a genuine coast-to-coast and global advantage in major regions of the U.S. and in many of the world's leading financial centers - New York, London, San Francisco, Los Angeles, Chicago and Boston. Baker Tilly Advisory Group, LP and Baker Tilly US, LLP (Baker Tilly) provide professional services through an alternative practice structure in accordance with the AICPA Code of Professional Conduct and applicable laws, regulations and professional standards. Baker Tilly US, LLP is a licensed independent CPA firm that provides attest services to its clients. Baker Tilly Advisory Group, LP and its subsidiary entities provide tax and business advisory services to their clients. Baker Tilly Advisory Group, LP and its subsidiary entities are not licensed CPA firms.

Baker Tilly Advisory Group, LP and Baker Tilly US, LLP, trading as Baker Tilly, are independent members of Baker Tilly International, a worldwide network of independent accounting and business advisory firms in 141 territories, with 43,000 professionals and a combined worldwide revenue of $5.2 billion. Visit bakertilly.com or join the conversation on LinkedIn, Facebook and Instagram.

Please discuss the work location status with your Baker Tilly talent acquisition professional to understand the requirements for an opportunity you are exploring.

Baker Tilly is an equal opportunity/affirmative action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability or protected veteran status, gender identity, sexual orientation, or any other legally protected basis, in accordance with applicable federal, state or local law.

Any unsolicited resumes submitted through our website or to Baker Tilly Advisory Group, LP, employee e-mail accounts are considered property of Baker Tilly Advisory Group, LP, and are not subject to payment of agency fees. In order to be an authorized recruitment agency ("search firm") for Baker Tilly Advisory Group, LP, there must be a formal written agreement in place and the agency must be invited, by Baker Tilly's Talent Attraction team, to submit candidates for review via our applicant tracking system.

Job Description:

Baker Tilly is hiring a Managing Director for Asset Management Regulatory Compliance!

We are seeking an entrepreneurial regulatory compliance leader to build and scale a national advisory practice serving SEC-registered investment advisers, private fund managers, and other asset management firms within Baker Tilly's Managed Services service line. The practice 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 role, not a traditional in-house Chief Compliance Officer position. The National Practice Leader will combine deep knowledge of the Investment Advisers Act of 1940 and the private funds regulatory framework with the commercial discipline to originate business, develop repeatable offerings, recruit and lead a team, and own practice economics. The leader will remain hands‑on in complex client matters while building the delivery model, quality controls, technology, and talent required for scale.

Key Responsibilities

Practice Strategy, Growth and Economics

• 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 plan, technology strategy, and multi-year growth roadmap.
• Develop recurring and project-based offerings, including outsourced/co-sourced compliance, annual compliance program reviews, regulatory filings, testing and monitoring, mock examinations, remediation, and specialized regulatory advisory.
• Own pipeline, bookings, revenue, utilization, engagement economics, client retention, and profitable growth; establish operating metrics and reporting for the practice.
• Build referral channels with law firms, fund administrators, consultants, custodians, technology providers, financial institutions, and other asset management centers of influence.
• Partner across Baker Tilly audit, tax, risk, cybersecurity, technology, and advisory teams to bring integrated solutions to investment management clients.

Business Development and Market Leadership

• Serve as the senior market-facing leader for the practice and develop relationships with CCOs, general counsel, CFOs, COOs, founders, boards, and investment professionals.
• Lead prospect discovery, diagnose regulatory and operating needs, scope engagements, develop proposals, negotiate fees, and close new business.
• Expand existing relationships by identifying adjacent compliance, risk, governance, cybersecurity, dat