Investment Management Compliance Practice Leader
- 1. Investment Management Compliance Practice Leader Our client, a national accounting and consulting firm with a core focus is on investment management (particularly hedge, private equity and funds of funds), seeks a senior level Investment Management Compliance Consultant to lead their investment management consulting practice. This is a once-in-a-lifetime opportunity for an appropriately experienced Investment Management Compliance professional looking to maximize their potential outside of a line compliance function. Our client’s own client list is a veritable “Who’s Who” of the alternative investment management industry. They consistently win industry accolades and awards for expertise, timeliness and service excellence, maintaining a “small firm”, collegial culture focused on team achievement while presenting star performers with career opportunities up to and including partnership. The Investment Management Compliance Practice leader will build new client compliance consulting relationships in partnership with existing accounting and consulting business lines as well as independently identifying and sourcing new opportunities for engagement and developing new service offerings. As the first hire in the practice, they will eventually be responsible for building and leading a team of professional staff. They will also: ♦ Draft compliance manuals and other compliance documentation for clients ♦ Build new compliance infrastructures for clients, including drafting of WSPs and ADV filings ♦ Undertake periodic compliance monitoring reviews on site at client premises (mock audits, audit support) ♦ Author compliance monitoring reports ♦ Personally perform interim management and support projects, occasionally as acting CCO ♦ Manage regulatory reporting schedules as needed ♦ Provide ad hoc regulatory advice and solutions ♦ Update clients on regulatory change including leading training courses and authoring white papers ♦ Network with industry professionals to keep abreast of regulatory changes and opportunities
- 2. ♦ Facilitate other firm services ♦ Market enhanced services to existing clients and participate in pitches to new potential clients Requirements include ♦ 10+ years of leadership level, Adviser Act-related experience within a hedge fund or large asset management environment ♦ At least 3-5 years of direct experience at the SEC covering Adviser Act-related issues within OCIE, Investment Management or Enforcement ♦ Management Consulting experience highly desired ♦ Subject matter expertise within the Investment Adviser Act ♦ Proven experience in the understanding and interpretation of regulation within the Investment Management industry and the implementation of solutions to address regulatory requirements ♦ An appreciation of the impact of past, current and forthcoming regulatory changes and issues facing the industry ♦ The proven ability to develop in-depth compliance monitoring programs and techniques ♦ Confidence in client facing situations with a solution-focused mentality ♦ A clear, logical thought process and the ability to make decisions and articulate their clearly and convincingly. ♦ Exceptional oral and written communication skills and confidence in giving presentations ♦ Excellent time management and ability to work under pressure ♦ Self-supporting technological skills – the ability to directly create presentations, spreadsheets and databases in the absence of available administrative support ♦ The ability to travel 50% Additionally, a legal or audit background and existing, broad contacts within the US and overseas Investment Management industry and securities regulatory professionals are considered highly desired. Please email your resume in complete confidentiality to: Dan Ogden Managing Director Rockwood Search [email protected]