Director, Compliance Consulting

Kroll • New York, NY

10h

About The Position

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.

Requirements

• Minimum of 10 years of experience.
• Bachelor’s degree is required.
• 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.

Nice To Haves

• MBA or JD preferred.
• 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.
• Business development skills a plus.

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.

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Number of Employees: 1,001-5,000 employees