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
dan.ogden@rockwood-search.com