National Managing Director, Asset Management Compliance

Baker Tilly Advisory Group, LP; Frisco (TX); On-site; USD 182,000 - 345,000; Full time

Job summary

Baker Tilly Advisory Group, LP in the United States seeks a Managing Director for Asset Management Regulatory Compliance to build and scale a national advisory practice serving SEC-registered advisers, private fund managers, and other asset management firms within Baker Tilly's Managed Services line.

The National Practice Leader will combine deep knowledge of the Investment Advisers Act with business development, recruit and lead a team, and own the delivery model, quality controls, technology,

Qualifications

• Bachelor's degree in finance, accounting, business, law, or a related field.
• 15 years of investment management regulatory compliance experience including work with SEC-registered advisers and private fund managers.
• Deep knowledge of the Investment Advisers Act of 1940 and related SEC rules.
• Hands-on experience designing, testing, and improving adviser compliance programs and supporting SEC examinations.
• Proven ability to originate opportunities, sell advisory services, and grow senior client relationships.

Responsibilities

• 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.
• Lead or oversee Form ADV Parts 1 and 2, schedules, disclosure reporting pages, brochures, annual amendments, interim amendments, state notice filings, registrations, and regulatory renewals.
• Design, implement, test, and enhance compliance programs, including policies and procedures, risk assessments, annual reviews, compliance calendars, testing plans, exception management, and board or management reporting.
• 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.
• Lead or oversee Form PF data collection, validation, reconciliation, review, and filing, including fund structure, exposures, leverage, liquidity, counterparties, financing, and investor information.

Skills

Regulatory leadership

Investment Adviser Act 1940

SEC rules and guidance

Form ADV/ PF preparation

Strategic business development

Team leadership

Education

Bachelor's degree in finance, accounting, business, law, or related field

Job description

Baker Tilly Advisory Group, LP in the United States seeks a Managing Director for Asset Management Regulatory Compliance to build and scale a national advisory practice serving SEC-registered advisers, private fund managers, and other asset management firms within Baker Tilly's Managed Services line.

The National Practice Leader will combine deep knowledge of the Investment Advisers Act with business development, recruit and lead a team, and own the delivery model, quality controls, technology,