layiq

/la·yiq/adjective

worthy; deserving; fitting; suitable.

A role, opportunity, or path that merits attention, time, and pursuit.

LAYIQ - Managing Director, Asset Management Regulatory Compliance at Baker Tilly

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, data, and operational needs.
· Build market visibility through thought leadership, regulatory updates, webinars, conferences, industry associations, and targeted executive outreach.
RIA and Investment Adviser Compliance
· Advise clients on the Investment Advisers Act of 1940, related SEC rules and guidance, state adviser requirements, and current SEC examination and enforcement 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 board or management reporting.
· Advise on marketing and performance advertising, books and records, custody/safeguarding, fees and expenses, conflicts of interest, personal trading, pay-to-play, privacy, cybersecurity, electronic communications, business continuity, and vendor oversight.
· 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.
Private Funds and Alternative Asset Management
· 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, including fund structure, exposures, leverage, liquidity, counterparties, financing, and investor information.
· 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 for consistency with compliance practices and regulatory expectations.
· Advise on custody-related requirements, annual audits and audited financial statement delivery, as well as Form D, blue-sky, beneficial ownership, AML/KYC, ERISA, and CFTC/NFA considerations where applicable.
Delivery, Quality and Team Leadership
· Establish standardized methodologies, workpapers, templates, review protocols, escalation criteria, service-level expectations, and quality-control processes for recurring compliance services.
· Select and deploy compliance technology and workflow tools supporting regulatory calendars, testing, certifications, personal trading, communications review, document retention, surveillance, and client reporting.
· Maintain ultimate 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 that allow the practice to scale without sacrificing senior-level oversight.
Required Qualifications
· Bachelor's degree in finance, accounting, business, law, or a related field; advanced degree or relevant professional credentials are a plus.
· 15 years of investment management regulatory compliance experience, including 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.
· The pay rate range for this job position is $182,150 - $345,330. Actual compensation is influenced by a variety of relevant factors including but not limited to applicant's skills, prior experience, qualifications, degrees, professional certifications, work arrangements, and geographic location. Baker Tilly offers a comprehensive compensation and benefits package to eligible employees.

Managing Director, Asset Management Regulatory Compliance

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