Director, Compliance Consulting

Kroll • New York, NY

8d

About The Position

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.

Requirements

• 10–20+ years of compliance experience supporting RIAs, broker-dealers, and/or RICs, including a track record of leading engagements and client relationships
• Strong working knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the ‘40 Act
• Experience registering and managing compliance programs, including policies and procedures, testing, and regulatory filings (Form ADV, BD, U4/U5)
• Familiarity with SEC examination processes, FINRA oversight, and regulatory remediation
• Regulatory compliance experience within a payments fintech, crypto exchange, money services business, bank, or similar financial services firm, with a focus on digital asset or cryptocurrency compliance- a plus but not required
• 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 engagement teams
• Proven ability to lead and grow multiple client engagements while contributing to business development and a collaborative team culture
• Bachelor's degree required; JD or MBA a plus
• Relevant industry certifications (CAMS, FINRA licenses etc.)

Nice To Haves

• Experience advising CTAs, CPOs, and FCMs on NFA and CFTC requirements, including registration, compliance programs, and exam preparedness
• Familiarity with U.S. Money Transmitter Licenses (MTLs), FinCEN MSB registration, and state financial licensing processes
• Familiarity with bank charter formation, including de novo charter (OCC, state) and FDIC deposit insurance applications

Responsibilities

• Own 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 and/or Outsourced CCO for registered investment advisers (RIAs), broker-dealers, or registered investment companies (RICs) clients- providing strategic oversight of compliance programs, codes of ethics, conflicts of interest, and regulatory filings (Forms ADV, PF, BD; U4/U5) under the Advisers Act, Investment ‘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)
• Advise clients on Advisers Act obligations including leading new registrations for RIAs and ERAs and regulatory exams or inquiries
• Support registered investment companies, closed-end funds, and BDCs on ‘40 Act compliance, board reporting, and co-investment relief matters
• Assist with SEC and/or FINRA regulatory inquires
• Review marketing materials for FINRA, SEC, ‘40 Act compliance; support FINRA membership applications and mock regulatory examinations
• Monitor 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

Benefits

• Join the global leader in risk and financial advisory solutions.
• With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities.
• As part of One Team, One Kroll, you'll contribute to a collaborative and empowering environment, propelling your career to new heights.
• Ready to build, protect, restore, and maximize our clients' value?
• Your journey begins with Kroll.

What This Job Offers

• Job Type: Full-time
• Career Level: Director