Director - Regulatory Compliance Consulting (Private Funds)

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Director - Regulatory Compliance Consulting (Private Funds)

LOCATION - New York

FUNCTION - Regulatory Compliance Consulting

LEVEL - Director

About the firm

Our client is a growing regulatory compliance consulting firm with offices in New York and London. The firm provides high-touch, high-value advisory services to investment managers in a collaborative environment focused on practical advice, strong client service and continuous development.

Role purpose

The Director holds overall accountability for a portfolio of regulatory consulting engagements serving investment advisers to private funds and separately managed accounts. The role owns engagement strategy, technical quality, senior client relationships, delivery risk and commercial performance, while developing colleagues and contributing to firm growth.

Key responsibilities

Portfolio and client leadership

• Hold overall accountability for a portfolio of retained and project-based client engagements, including service quality, client satisfaction, delivery risk and commercial performance.
• Act as a trusted adviser to senior compliance, legal and business stakeholders and lead discussions on complex, sensitive or multi-regulator matters.
• Define engagement scope, delivery approach, governance and resourcing; approve material workplan changes and escalate significant risks when appropriate.
• Own senior client relationships, resolve material service issues and identify opportunities to deepen or expand relevant support.
• Serve as an Outsourced Chief Compliance Officer where required.

Technical leadership and quality assurance

• Provide authoritative, practical and risk-based advice on complex SEC and CFTC/NFA matters affecting investment advisers, exempt reporting advisers and CPO/CTA clients.
• Lead SEC and CFTC/NFA registration projects and oversee preparation and coordination of required filings.
• Review and approve material advice and key regulatory deliverables, including Form ADV, Form PF, CPO-PQR, CTA-PR and Form 13H, as applicable.
• Lead annual compliance reviews under Advisers Act Rule 206(4)-7, ensuring that risk assessments, testing, findings and recommendations are well supported and clearly communicated.
• Lead SEC mock examinations and exam-readiness engagements, including interviews, issue assessment, senior stakeholder briefings and remediation planning.

Commercial and engagement governance

• Own engagement budgets and monitor time, scope, margin and delivery performance across the assigned portfolio.
• Approve or recommend responses to material scope and budget variances and ensure expectations are reset promptly with clients.
• Lead or materially contribute to proposals, pitches and account planning, and support the development of new and existing client relationships.

People and firm leadership

• Allocate and oversee work across engagement teams, review output and provide timely technical guidance and developmental feedback.
• Mentor consultants, identify development needs and contribute to recruitment, onboarding and performance discussions, as appropriate.
• Develop internal technical resources, templates, training and quality standards; promote consistent delivery across New York and London.
• Lead or sponsor firm initiatives focused on process improvement, knowledge sharing and capability development.
• Represent the firm at client training sessions, webinars and relevant industry events.

Experience and qualifications

Experience

8+ years of relevant compliance experience in consulting, an asset or private fund manager, a regulator, or a combination of these environments, with substantial private funds exposure.

Technical depth

Deep practical knowledge of the Investment Advisers Act of 1940 and SEC requirements applicable to investment advisers, with experience addressing complex or multi-regulator matters.

Leadership

Demonstrated accountability for leading client engagements or a portfolio, reviewing others' work and making well-reasoned technical and delivery decisions.

Commercial skills

Experience managing budgets, scope and senior client expectations, with credible contribution to proposals, pitches or account development.

Communication

Strong executive-level written and verbal communication, sound judgment and confidence handling sensitive issues and material escalations.

Director-level accountability

• The Director is answerable for engagement outcomes, technical quality, material escalations, portfolio economics and the development of team capability.
• The role may delegate delivery, but retains responsibility for appropriate oversight, quality assurance and timely intervention.