Managing Director, Compliance Consulting

The Managing Director will lead a team of compliance experts in advising investment advisory firms on regulatory compliance, risk management, and best practices. The role requires deep expertise in regulations governing the sector and fiduciary responsibilities.

What You Will Do

The Managing Director will develop new business, lead a team, and guide clients in maintaining compliance with evolving laws, enhancing operational risk management, and staying ahead of regulatory changes.

Why It Might Be a Fit

The ideal candidate will have a strong network within the investment advisory sector, knowledge of SEC private fund regulations, and experience in building and managing project teams.

Requirements

• Minimum of 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.
• Extensive business development experience and a strong network within the investment advisory sector
• Strong knowledge of SEC private fund regulations.
• Previous regulatory examination experience within FINRA or the SEC, preferred.
• 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

Benefits

• Healthcare Coverage: Comprehensive medical, dental, and vision plans.
• Time Off and Leave Policies: Generous paid time off (PTO), paid company holidays, generous parental and family leave.
• Protective Insurances: Life insurance, short- and long-term disability coverage, and accident protection.
• Compensation and Rewards: Competitive salary structures, performance-based incentives, and merit-based compensation reviews.
• Retirement Plans: 401(k) plans with company matching.