Financial Services Consulting Senior Manager

About the role

Weaver is seeking a Senior Manager or Director to lead its growing Financial Services Consulting practice. This role will advise investment advisers, asset managers, fund sponsors, and other financial services organizations on regulatory compliance, data and analytics, and operational transformation.

Responsibilities

• Lead client-facing engagements and build a high-performing team
• Drive practice growth and offer expert advice to a variety of clients
• Support clients through regulatory examinations and inquiries from various regulatory bodies
• Assess and implement technology and tooling for compliance, risk, and operations platforms
• 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 (MBA, MS) preferred
• Relevant professional certifications, including CPA, CFA, CAIA, FRM, CIPM or IACCP
• Significant experience advising investment advisers, asset managers, fund sponsors, or other financial services organizations, with progressive leadership responsibility
• Demonstrated 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
• Balanced data and analytics capability spanning: Data governance frameworks supporting regulatory and investor reporting, Regulatory reporting design and automation (e.g., Form PF, Schedule of Investments, AIFMD-aligned reporting), Analytics and dashboards supporting compliance monitoring, exposure, performance and risk, Technology and tooling assessment for compliance, risk and operations platforms including familiarity with emerging AI tools, 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
• 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

Qualifications

• 8+ years of industry or consulting experience advising investment advisers, asset managers, fund sponsors, or other financial services organizations, with progressive leadership responsibility
• Significant experience advising registered investment advisers, hedge funds, private equity, private credit, registered investment companies, and other alternative investment vehicles across regulatory compliance, data and analytics, and operational transformation
• Experience advising across the full spectrum of investment fund types, including hedge funds, private equity, private credit, venture capital, real estate funds, registered investment companies (mutual funds, ETFs, BDCs), funds of funds, and other alternative investment vehicles
• Working knowledge of complex fund structures, including master-feeder, multi-class, parallel, and offshore vehicles (including Cayman-domiciled funds)
• 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 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 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 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 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 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 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 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 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 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 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 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 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 supporting clients through regulatory examinations and inquiries from the SEC, FINRA, NFA and other regulatory bodies
• Familiarity with core investment and trading