Financial Services Consulting Senior Manager

About the role

Weaver is seeking a Senior Manager or Director to lead our Financial Services Consulting practice. This role involves advising investment advisers, asset managers, fund sponsors, and other financial services organizations on regulatory compliance, data, and analytics.

Responsibilities

• Lead client-facing engagements and build a high-performing team
• Drive practice growth and offer expert advice to various clients
• Support clients through regulatory examinations and inquiries
• Assess and implement technology and tooling for compliance, risk, and operations
• Develop and maintain data governance frameworks and regulatory reporting designs
• Translate complex regulatory and data topics into actionable insights for C-suite, GP/LP audiences, boards, and audit/compliance committees

Requirements

• Bachelor's degree in Business, Accounting, Finance, Economics, Data Analytics or a related field; advanced degree preferred
• Significant experience advising investment advisers, asset managers, fund sponsors, or other financial services organizations, with progressive leadership responsibility
• Expertise across multiple financial services regulatory regimes, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, SEC rules, CFTC and NFA requirements, and other relevant U.S. financial services regulatory frameworks
• Experience supporting clients through regulatory examinations and inquiries from the SEC, FINRA, NFA, and other regulatory bodies
• Familiarity with core investment and trading platforms, including transaction capture and order management systems, IBOR and ABOR architectures, portfolio accounting, reconciliation workflows, and downstream data flows supporting risk, compliance, regulatory reporting, and investor reporting
• Practical understanding of compliance program design and execution, including Form ADV preparation, written policies and procedures (Rule 206(4)-7), marketing and advertising reviews, electronic communications surveillance, Code of Ethics monitoring, and annual compliance reviews
• Experience with data governance frameworks supporting regulatory and investor reporting, regulatory reporting design and automation, analytics and dashboards supporting compliance monitoring, exposure, performance, and risk, and data transformation initiatives supporting target operating model design and post-merger integration
• Demonstrated ability to lead client-facing advisory engagements from sales through delivery, including scoping, work plan development, team leadership, deliverable quality, and executive presentations

Skills

• Strong people leadership skills: hiring, developing, mentoring, and retaining high-performing advisory professionals
• Excellent written and verbal communication, with the ability to translate complex regulatory and data topics into actionable insight for C-suite, GP/LP audiences, boards, and audit/compliance committees
• Practical understanding of compliance program design and execution, including Form ADV preparation, written policies and procedures (Rule 206(4)-7), marketing and advertising reviews, electronic communications surveillance, Code of Ethics monitoring, and annual compliance reviews
• Experience supporting clients through regulatory examinations and inquiries from the SEC, FINRA, NFA, and other regulatory bodies
• Familiarity with core investment and trading platforms, including transaction capture and order management systems, IBOR and ABOR architectures, portfolio accounting, reconciliation workflows, and downstream data flows supporting risk, compliance, regulatory reporting, and investor reporting
• Practical understanding of compliance program design and execution, including Form ADV preparation, written policies and procedures (Rule 206(4)-7), marketing and advertising reviews, electronic communications surveillance, Code of Ethics monitoring, and annual compliance reviews
• Experience with data governance frameworks supporting regulatory and investor reporting, regulatory reporting design and automation, analytics and dashboards supporting compliance monitoring, exposure, performance, and risk, and data transformation initiatives supporting target operating model design and post-merger integration
• Demonstrated ability to lead client-facing advisory engagements from sales through delivery, including scoping, work plan development, team leadership, deliverable quality, and executive presentations

Qualifications

• Relevant professional certifications preferred, including CPA, CFA, CAIA, FRM, CIPM, or IACCP
• 8+ years of industry or consulting experience advising investment advisers, asset managers, fund sponsors, or other financial services organizations, with progressive leadership responsibility
• Practical understanding of compliance program design and execution, including Form ADV preparation, written policies and procedures (Rule 206(4)-7), marketing and advertising reviews, electronic communications surveillance, Code of Ethics monitoring, and annual compliance reviews
• Experience supporting clients through regulatory examinations and inquiries from the SEC, FINRA, NFA, and other regulatory bodies
• Familiarity with core investment and trading platforms, including transaction capture and order management systems, IBOR and ABOR architectures, portfolio accounting, reconciliation workflows, and downstream data flows supporting risk, compliance, regulatory reporting, and investor reporting
• Practical understanding of compliance program design and execution, including Form ADV preparation, written policies and procedures (Rule 206(4)-7), marketing and advertising reviews, electronic communications surveillance, Code of Ethics monitoring, and annual compliance reviews
• Experience with data governance frameworks supporting regulatory and investor reporting, regulatory reporting design and automation, analytics and dashboards supporting compliance monitoring, exposure, performance, and risk, and data transformation initiatives supporting target operating model design and post-merger integration
• Demonstrated ability to lead client-facing advisory engagements from sales through delivery, including scoping, work plan development, team leadership, deliverable quality, and executive presentations

Benefits

At Weaver, we offer a competitive compensation package, including a reasonable estimate of the compensation range for this position being $155,000 to $265,000. Additional benefits include medical, dental, vision, disability, life insurance, a 401(k) plan, flexible scheduled time off (STO), minimum of 56 hours of sick and safe leave, 11 holidays, and 2 scheduled recharge days. Weaver also supports our employees by offering in-house CPE and learning opportunities through our internal Learning & Development department. Our multi-faceted internal learning program includes technical improvement, practice development, management/leadership training, and whole-life growth. WeaverLEAD is an internal leadership coaching program designed to train leaders to support other leaders at every level of the organization. The goal of WeaverLEAD is to inspire the growth and development of our leaders by leaning into the experience of exploring new ideas for each individual’s growth as a leader. Engaging the coaching mindset at work with new ways of thinking about challenges and opportunities. Adapting to the transformation that takes place as a result of participating in the program. Developing yourself and others with coaching competencies to create a firm-wide culture of coaching. People are our formula! At Weaver, we recognize that everyone brings different strengths, backgrounds, and working styles to our team. We cultivate a safe and inclusive work environment that celebrates each individual’s unique qualities through visibility, progression, advocacy, and support. We are proudly an equal opportunity employer.