Vice President, Compliance Consulting

Job-:
Compliance & Regulatory Consulting

Location:

New York, NY, United States;
Chicago, IL, United States;
Atlanta, GA, United States;
Miami, FL, United States;
Dallas, TX, United States;
Boston, MA, United States;
Los Angeles, CA, United States

Schedule:

Full time Posted:
At Kroll, you will advise a diverse portfolio of financial services firms, including registered investment advisers, broker-dealers, and registered investment companies. You will work alongside experienced senior professionals, deepen your regulatory and consulting expertise, mentor talented colleagues, and play a visible role in growing client relationships within an award-winning global firm.

We are seeking a collaborative, commercially minded compliance professional with strong knowledge of the Investment Advisers Act of 1940 (“Advisers Act”) and FINRA rules. You will lead multiple client engagements, translate complex requirements into practical solutions, and help clients strengthen their compliance programs.

The right candidate combines sound regulatory judgment, a high-touch approach to client service, and the ability to develop people and business.

Day to day responsibilities:
• Serve as the day-to-day strategic adviser to clients, providing clear, practical guidance and coordinating internal teams to deliver high-quality work on time.
• Act as a compliance consultant and, where appropriate, Outsourced Chief Compliance Officer for RIAs, broker-dealers, or registered investment companies (RICs), overseeing compliance programs, codes of ethics, conflicts management, and regulatory filings, including Forms ADV, PF, and BD and Forms U4 and U5.
• Design, implement, and enhance tailored compliance programs, including policies and procedures, testing, monitoring, and surveillance under Advisers Act Rule 206(4)-7, FINRA Rules 3120 and 3130, and Investment Company Act Rule 38a-1.
• Advise on Advisers Act requirements, including new registrations for RIAs and exempt reporting advisers, regulatory examinations, inquiries, and remediation.
• Support FINRA new membership applications and related regulatory submissions.
• Assist clients with SEC and FINRA inquiries, mock examinations, exam readiness, and remediation efforts.
• Review marketing and communications materials for compliance with SEC and FINRA requirements.
• Monitor regulatory developments, examination priorities, and enforcement trends, translating them into actionable guidance for clients.
• Cultivate new and existing client relationships, identify opportunities to broaden Kroll’s support, and contribute to the continued growth of the practice.
• Mentor and develop junior professionals while fostering a collaborative, inclusive, and high-performing team culture.

Essential Traits:
• At least 5 years of compliance experience supporting RIAs, broker-dealers, registered investment companies, or a combination of these organizations; 10 or more years is preferred for candidates with broader leadership responsibilities.
• Strong working knowledge of the Advisers Act and FINRA rules and regulations.
• Hands-on experience establishing, managing, testing, or enhancing compliance programs and preparing regulatory filings, such as Forms ADV and BD and Forms U4 and U5.
• Experience with SEC examinations, FINRA oversight, regulatory inquiries, and remediation.
• A track record of building trusted client relationships and the ability to originate new business, expand existing engagements, or both.
• Excellent communication, project management, team leadership, and organizational skills.
• The judgment and confidence to manage multiple client engagements independently while collaborating effectively across teams.
• A bachelor's degree; a JD or MBA is a plus.
• Relevant industry certifications…