Consulting Director

Our client, a dynamic and growing regulatory consulting firm, is seeking an experienced and strategic compliance professional to join their New York Regulatory Consulting team. This Consulting Director will play a critical role in advising clients across investment management, ensuring compliance with SEC and NFA regulatory requirements.

• This newly created position is open due to the firm’s continued expansion and increased client demand.
• Team is collaborative, high-performing, and committed to delivering high-touch, high-value service.
• Firm has a strong industry reputation and operates across both New York and London, offering global exposure.
• Opportunity to join their growing NYC office on a hybrid schedule (2 days in the office per week) and make an impact.

• Act as the lead compliance resource for retained client relationships.
• Partner with the Managing Director to drive business development and sales efforts.
• Provide strategic compliance advice and solutions for complex multi-regulator issues.
• Draft and implement client policies and procedures.
• Lead client registration projects for the SEC and CFTC/NFA.
• Oversee the drafting and review of regulatory filings, including Form ADV, Form PF, CPO-PQR, and CTA-PR.
• Conduct SEC mock audits and annual compliance reviews.
• Develop and maintain technical resources and training content.
• Contribute to firm-wide initiatives and collaborate with the London team on cross-jurisdictional matters.

• 8-10+ years of experience in compliance consulting, asset management, or regulatory work, with a focus on private funds (hedge, private equity, real estate, etc.).
• Deep knowledge of the Investment Advisers Act of 1940 and regulations relevant to investment advisers.
• Working understanding of NFA rules and CFTC regulations applicable to investment managers.
• Proven ability to manage client and project budgets effectively.
• Excellent communication skills and a client-centric approach.
• Undergraduate degree or higher.

Compensation Expectations:$190-200K base salary + bonus