Senior Vice President, Compliance Consulting
About The Position
At Kroll, you will provide expert compliance guidance to a diverse range of financial firms, including registered investment advisers, broker-dealers, and registered investment companies. You will work alongside accomplished senior staff, deepen your regulatory expertise, mentor junior team members, and deliver outstanding client service as part of an award-winning global team. We are seeking a collaborative, client-focused professional with deep knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940 a plus. The ideal candidate manages multiple client relationships, delivers practical compliance solutions, stays current on regulatory developments, and contributes to team growth and culture.
Requirements
- 5–10+ years of compliance experience supporting RIAs, broker-dealers, and/or registered investment companies
- Strong working knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940
- 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
- Excellent client communication, team management, and organizational skills
- Ability to manage multiple client engagements independently while contributing to a collaborative team
- Bachelor's degree required
- Relevant industry certifications (CAMS, FINRA licenses etc.)
Nice To Haves
- JD or MBA a plus
- NFA/CFTC experience beneficial but not required
Responsibilities
- Serve as the day-to-day client contact for compliance guidance and questions, managing and coordinating an internal team to ensure timely delivery of client deliverables
- Serve as Outsourced CCO for RIA and broker-dealer clients, overseeing compliance programs, codes of ethics, conflicts of interest, and regulatory filings (Form ADV, PF, BD; U4/U5) under the Advisers Act and applicable 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 (Investment Company 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 Investment Company Act compliance, board reporting, and co-investment relief matters
- Assist with SEC and/or FINRA regulatory inquires
- Review marketing materials for FINRA and SEC 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
Benefits
- Award-winning global team
- Collaborative and empowering environment
Stand Out From the Crowd
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What This Job Offers
Job Type
Full-time
Career Level
Senior
