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About the Role

Baker Tilly is 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. This practice-building role requires deep knowledge of investment management regulations and commercial discipline to originate business, develop offerings, lead a team, and manage practice economics.

Responsibilities

Build and lead a national asset management regulatory compliance practice.
Define target client segments, service offerings, delivery models, pricing, revenue goals, hiring plan, technology strategy, and growth roadmap.
Develop recurring and project-based offerings, including outsourced/co-sourced compliance, annual reviews, regulatory filings, testing, mock examinations, remediation, and advisory services.
Own pipeline, bookings, revenue, utilization, engagement economics, client retention, and profitable growth.
Establish operating metrics and reporting for the practice.
Build referral channels with industry partners.
Partner across Baker Tilly service lines to bring integrated solutions to clients.
Serve as the senior market-facing leader for the practice.
Develop relationships with CCOs, general counsel, CFOs, COOs, founders, boards, and investment professionals.
Lead prospect discovery, diagnose needs, scope engagements, develop proposals, negotiate fees, and close new business.
Expand existing relationships by identifying adjacent needs.
Build market visibility through thought leadership, regulatory updates, webinars, conferences, and industry associations.
Advise clients on the Investment Advisers Act of 1940, SEC rules, state adviser requirements, and examination priorities.
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 reporting.
Advise on marketing and performance advertising, books and records, custody, fees, conflicts of interest, personal trading, pay-to-play, privacy, cybersecurity, electronic communications, business continuity, and vendor oversight.
Review websites, pitchbooks, performance presentations, client communications, disclosures, agreements, and other materials for regulatory consistency.
Prepare clients for SEC and state examinations; manage document requests, interviews, deficiency responses, remediation plans, and follow-up inquiries.
Advise hedge, private equity, venture capital, private credit, real estate, infrastructure, funds-of-funds, and other alternative investment managers on adviser and fund-level compliance obligations.
Lead or oversee Form PF data collection, validation, reconciliation, review, and filing.
Advise on fund fees and expenses, allocation practices, valuation governance, affiliated transactions, conflicts, side letters, preferential treatment, restricted activities, investor reporting, and governing-document controls.
Review private placement memoranda, limited partnership agreements, subscription materials, side letters, investor letters, DDQs, and other fund disclosures.
Advise on custody-related requirements, annual audits, audited financial statement delivery, Form D, blue-sky, beneficial ownership, AML/KYC, ERISA, and CFTC/NFA considerations.
Establish standardized methodologies, workpapers, templates, review protocols, escalation criteria, service-level expectations, and quality-control processes.
Select and deploy compliance technology and workflow tools.
Maintain accountability for technical quality, consistency, documentation, and defensibility of client work.
Recruit, develop, and retain a team with expertise across RIA compliance, private funds, regulatory filings, testing, examinations, and compliance operations.
Define roles, career paths, utilization expectations, performance standards, delegation models, and succession plans.

Requirements

Bachelor's degree in finance, accounting, business, law, or a related field.
15 years of investment management regulatory compliance experience.
Substantial work with SEC-registered investment advisers and private fund managers.
Deep working knowledge of the Investment Advisers Act of 1940, SEC rules and guidance applicable to advisers, and the regulatory framework for private fund advisers.
Demonstrated expertise with Form ADV and Form PF preparation, review, data governance, and filing requirements.
Hands-on experience designing, testing, and improving adviser compliance programs and supporting SEC examinations and remediation.
Demonstrated ability to build or materially grow a compliance, legal, consulting, accounting, or other professional services business serving asset managers.
Proven record of originating opportunities, selling advisory services, developing referral relationships, preparing proposals, and expanding senior client relationships.
Experience leading professional teams and managing practice economics, including pricing, budgeting, forecasting, staffing, utilization, realization, and profitability.
Ability to translate complex regulatory requirements into practical controls, clear executive advice, and scalable client solutions.

Skills

Regulatory Compliance
Asset Management
SEC-registered investment advisers
Private fund managers
Investment Advisers Act of 1940
Form ADV
Form PF
Practice Development
Business Development
Team Leadership
Client Relationship Management
Risk Management
Cybersecurity
Data Governance
Operational Efficiency

Location

Remote
Hybrid
Onsite

Work Type

Full-time

Experience Level

Managing Director
15 years of experience

Education Level

Bachelor's degree
Advanced degree or relevant professional credentials are a plus

Salary/Compensations

$182,150 - $345,330

Benefits

Comprehensive compensation and benefits package

About the Company

Baker Tilly is a leading advisory, tax and assurance firm with a genuine coast-to-coast and global advantage.
Baker Tilly Advisory Group, LP and Baker Tilly US, LLP provide professional services through an alternative practice structure.
Baker Tilly US, LLP is a licensed independent CPA firm.
Baker Tilly Advisory Group, LP and its subsidiary entities provide tax and business advisory services.
Baker Tilly is an independent member 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.

Equal Opportunity

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.