Director, Compliance Consulting

Director, Compliance Consulting

At Kroll, you will deliver expert advice and guidance to a wide variety of financial firms in managing their SEC, FINRA, NFA/CFTC compliance requirements. You will work alongside accomplished senior staff enhancing your own regulatory expertise, while mentoring junior team members and delivering excellent service. You will be part of an award-winning team supporting a global network of clients and colleagues. 

Our Compliance Consulting team provides expert compliance support for a variety of firms including hedge funds, private fund managers (e.g., equity, real estate, credit), wealth managers, corporate finance, broker-dealers, and NFA/CFTC-registered firms such as commodity pool operators (CPOs), commodity trading advisors (CTAs), and broker-dealers.

At Kroll, your work will help deliver clarity to our clients’ most complex governance, risk, and transparency challenges. Apply now to join One team, One Kroll. 

RESPONSIBILITIES:

• Oversee and direct compliance programs for a variety of SEC registered investment advisers (RIA), FINRA broker-dealers and/or NFA/CFTC registered clients.

• Provide technical expertise on complex regulatory issues.

• Develop and implement tailored compliance programs, including written policies, procedures, testing, surveillance, and annual Rule 206(4)-7 and Rule 3120/3130 testing reviews.

• Direct and oversee the preparation of regulatory filings (Form ADV, PF, BD; U4/U5).

• Monitor relevant regulatory changes and advise clients on developing new internal controls.

• Serve as an Outsourced CCO for RIA or broker-dealer and/or FinOp for clients, overseeing the compliance program.

• Lead clients through all phases of regulatory examinations.

• Mentor and develop the junior staff.

REQUIREMENTS:

• Minimum of 10 years of experience.

• Bachelor’s degree is required. MBA or JD preferred.

• Strong knowledge of SEC rules and regulations required. 

• Demonstrate expertise in regulatory matters and strong technical compliance skills, including past regulatory examination experience.
• Proven ability to lead project teams and oversee daily client engagements while resolving complex issues.

• Experience with the FINRA and NFA rules a plus- including Series 7, 24, 27/28 or Series 3. 

• Familiarity with digital asset regulations and emerging rules a plus.

• Excellent written and verbal communication skills.

• Business development skills a plus.

Why Join Kroll?
Join the global leader in risk and financial advisory solutions where your expertise shapes outcomes for the world's leading financial institutions.  With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. At Kroll, you'll work alongside top-tier professionals, tackle complex regulatory challenges, and build a career with real impact. One Team, One Kroll.

Kroll is committed to creating an inclusive work environment. We are proud to be an equal opportunity employer and will consider all qualified applicants regardless of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status, age, or disability.

Apply Today
Interested candidates must formally apply via: careers.kroll.com

Kroll is an equal-opportunity employer. We welcome applicants of all backgrounds, identities, and abilities.

#LI-RA1