Director, Compliance Consulting

Job-:
Compliance & Regulatory Consulting

Location:

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

Schedule:

Full time Posted:
Director - US FSCR - Compliance Consulting At Kroll, you will lead the delivery of expert compliance guidance to a diverse range of financial firms, including registered investment advisers, broker-dealers, and registered investment companies. As a senior leader within the practice, you will own and grow key client relationships, serve as a trusted advisor to senior executives and boards, develop and mentor the broader team, and help drive the strategic growth of our award-winning global compliance consulting practice.

Responsibilities We are seeking an experienced, client-focused leader with deep knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940 (‘40 Act) a plus. The ideal candidate owns a portfolio of client relationships, provides strategic direction on complex compliance matters, leads and develops engagement teams, drives business development, and helps shape the growth, culture, and thought leadership of the practice.

What You'll DoOwn senior-level client relationships as the primary point of contact for strategic compliance guidance, leading and coordinating engagement teams to ensure high-quality, timely delivery across a portfolio of clients

Serve as a senior consultant or Outsourced CCO for RIAs, broker-dealers, and registered funds, providing strategic oversight of compliance programs, conflicts of interest, Codes of Ethics, and regulatory filings (Forms ADV, PF, BD, U4/U5) under the Advisers Act, ’40 Act, and FINRA rules.

Develop and implement tailored compliance programs, including written policies, procedures, testing, and surveillance in accordance with Rule 206(4)-7 (Advisers Act), Rule 3120/3130 (FINRA), and Rule 38a-1 (’40 Act)
Lead compliance program development and administration, including SEC and FINRA registrations, FINRA New Membership Applications (NMAs), policies and procedures, testing, surveillance, and regulatory filings (Forms ADV, PF, BD, and U4/U5).Advise clients on Advisers Act obligations including leading new registrations for RIAs and ERAs and regulatory exams or inquiries

Lead with SEC and/or FINRA examinations, inquiries, remediation efforts and mock exams

Review marketing materials for broker-dealers and RIAsMonitor regulatory developments, SEC examination priorities, and enforcement trends affecting RIAs, broker-dealers, and registered funds, and advise clients on their strategic implications

Drive business development by identifying new opportunities, leading proposals, expanding existing engagements, and cultivating relationships with prospects and referral sources

Lead, mentor, and develop team members, including junior staff, and contribute to the growth, training, and culture of the practice

Contribute to thought leadership through publications, webinars, and speaking engagements that enhance Kroll’s market presence and brand

What You Bring
10–20+ years of compliance experience supporting RIAs and/or broker-dealers, including a track record of leading engagements and client relationships

Strong working knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations

Experience registering and managing compliance programs

Familiarity with SEC examination processes, FINRA oversight, and regulatory remediation

Proven ability to originate and close new business and expand existing client relationships

Excellent client communication, team leadership, and organizational skills, with demonstrated ability to develop talent and manage…