Director, Compliance Consulting

Kroll•Los Angeles, CA

About The Position

The Director of Compliance Consulting will lead the delivery of compliance guidance to financial firms, including registered investment advisers, broker-dealers, and registered investment companies. As a senior leader, this person will own and grow client relationships, advise senior executives and boards, direct and develop engagement teams, drive business development, and contribute to the strategic growth and thought leadership of Kroll’s compliance consulting practice. The role includes serving as a senior consultant or Outsourced Chief Compliance Officer, overseeing compliance programs, advising on regulatory obligations, leading registration and examination work, and developing tailored policies, procedures, testing, and surveillance. The Director will also monitor regulatory developments, cultivate new business, mentor colleagues, and contribute to the practice’s growth, training, and culture.

Requirements

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 and 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, including the ability to develop talent and manage engagement teams.
Ability to lead and grow multiple client engagements while contributing to business development and a collaborative team culture.
Bachelor’s degree required.

Nice To Haves

Knowledge of the Investment Company Act of 1940 (’40 Act).
JD or MBA.
Relevant industry certifications, such as CAMS or FINRA licenses.
Experience with ’40 Act, registered funds, and/or BDCs.
Experience advising CTAs, CPOs, and FCMs on NFA and CFTC requirements, including registration, compliance programs, and exam preparedness.

Responsibilities

Own senior-level client relationships as the primary point of contact for strategic compliance guidance and coordinate engagement teams to deliver high-quality work on time.
Serve as a senior consultant or Outsourced CCO to RIAs, broker-dealers, and registered funds, providing oversight of compliance programs, conflicts of interest, Codes of Ethics, and regulatory filings.
Develop and implement tailored compliance programs, including written policies, procedures, testing, and surveillance under applicable Advisers Act, FINRA, and ’40 Act rules.
Lead compliance program development and administration, including SEC and FINRA registrations, FINRA New Membership Applications, policies and procedures, testing, surveillance, and regulatory filings.
Advise clients on Advisers Act obligations, including new RIA and ERA registrations and regulatory exams or inquiries.
Lead clients through SEC and/or FINRA examinations, inquiries, remediation efforts, and mock exams.
Review marketing materials for broker-dealers and RIAs.
Monitor regulatory developments, SEC examination priorities, and enforcement trends, and advise clients on their strategic implications.
Drive business development by identifying opportunities, leading proposals, expanding existing engagements, and cultivating prospects and referral sources.
Lead, mentor, and develop team members, including junior staff, and contribute to practice growth, training, and culture.
Contribute to thought leadership through publications, webinars, and speaking engagements.