Director, Compliance Consulting

Kroll • Los Angeles, CA

7d

About The Position

The Director, Compliance Consulting leads the delivery of compliance guidance to financial firms, including registered investment advisers (RIAs), broker-dealers, and registered investment companies. As a senior leader in Kroll’s compliance consulting practice, the Director owns and grows client relationships, advises senior executives and boards, provides strategic direction on complex compliance matters, leads and develops engagement teams, drives business development, and contributes to the practice’s growth, culture, and thought leadership.

The role may serve clients as a senior consultant or Outsourced Chief Compliance Officer, overseeing compliance programs, conflicts of interest, Codes of Ethics, registrations, regulatory filings, policies and procedures, testing, and surveillance. The Director advises on regulatory obligations and developments, leads clients through examinations and inquiries, and contributes to the growth and market presence of Kroll’s global compliance consulting practice.

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.
• Relevant industry certifications, such as CAMS or FINRA licenses.

Nice To Haves

• JD or MBA.
• Experience with the ’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 and act as the primary point of contact for strategic compliance guidance.
• Lead and coordinate 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.
• Provide strategic oversight of compliance programs, conflicts of interest, Codes of Ethics, and regulatory filings, including Forms ADV, PF, BD, and U4/U5.
• Develop and implement tailored compliance programs, including written policies, procedures, testing, and surveillance under applicable Advisers Act, FINRA, and ’40 Act requirements.
• 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 registrations for RIAs and ERAs and regulatory examinations 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 prospect and referral-source relationships.
• Lead, mentor, and develop team members, including junior staff, and contribute to the practice’s growth, training, and culture.
• Contribute to thought leadership through publications, webinars, and speaking engagements.

What This Job Offers

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