Senior Vice President, Compliance Consulting
About The Position
At Kroll, you will provide support and guidance to a wide variety of financial firms in managing their SEC and FINRA compliance programs. 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 and respected team supporting a global network of clients and colleagues. Responsibilities: We are seeking a collaborative individual with a strong understanding of FINRA rules and regulations, knowledge of the Advisers Act of 1940 a plus. The ideal candidate will manage multiple clients, provide practical compliance guidance, stay current on regulatory developments and best practices, and contribute to team learning and culture. Responsibilities of a Senior Vice President include, but are not limited to: What You’ll Do • Serve as an Outsourced CCO and/or senior consultant for broker-dealer clients overseeing a compliance program • Develop and implement tailored compliance programs, including written policies, procedures, testing, surveillance, and annual Rule 3120/3130 testing reviews Support FINRA membership applications Review marketing materials for FINRA compliance Lead and manage regulatory filings (Form ADV, PF, BD; U4/U5) • Serve as primary contact for FINRA, SEC, state regulators, and auditors, manage exams, respond to inquiries, and drive remediation • Experience supporting or leading compliance for SEC‑registered investment advisers (RIA), including Rule 206(4)-7 annual reviews • Lead preparation, filing for RIA registration, and annual updating of Form ADV Parts 1 and 2A; coordinate Form PF drafting, delivery, and version control. What You Bring • Active FINRA Series 7 and 24; 27/28 is a plus • 5+ years of experience serving as in-house or outsourced CCO and/or senior consultant for FINRA broker-dealer(s) • 5–10+ years of hands-on broker-dealer experience • Proven RIA experience • Strong knowledge of FINRA and SEC Advisers Act of 1940 • Experience with regulatory exams, annual audits, and remediation efforts • Excellent communication, organization, and multitasking skills • Ability to operate independently while contributing to a collaborative team • Bachelor’s degree required; JD or MBA a plus; SEC or NFA/CFTC preferred Why Join Kroll? 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 a 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. In order to be considered for a position, you must formally apply via careers.kroll.com. Kroll is committed to creating an inclusive work environment. We are proud to be an equal opportunity employer and will consider all qualified applicants regardless of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status, age, or disability. Apply Today Interested candidates must formally apply via: careers.kroll.com Kroll is an equal-opportunity employer. We welcome applicants of all backgrounds, identities, and abilities.
Requirements
- Active FINRA Series 7 and 24; 27/28 is a plus
- 5+ years of experience serving as in-house or outsourced CCO and/or senior consultant for FINRA broker-dealer(s)
- 5–10+ years of hands-on broker-dealer experience
- Proven RIA experience
- Strong knowledge of FINRA and SEC Advisers Act of 1940
- Experience with regulatory exams, annual audits, and remediation efforts
- Excellent communication, organization, and multitasking skills
- Ability to operate independently while contributing to a collaborative team
- Bachelor’s degree required
Nice To Haves
- JD or MBA a plus
- SEC or NFA/CFTC preferred
Responsibilities
- Serve as an Outsourced CCO and/or senior consultant for broker-dealer clients overseeing a compliance program
- Develop and implement tailored compliance programs, including written policies, procedures, testing, surveillance, and annual Rule 3120/3130 testing reviews
- Support FINRA membership applications
- Review marketing materials for FINRA compliance
- Lead and manage regulatory filings (Form ADV, PF, BD; U4/U5)
- Serve as primary contact for FINRA, SEC, state regulators, and auditors, manage exams, respond to inquiries, and drive remediation
- Experience supporting or leading compliance for SEC‑registered investment advisers (RIA), including Rule 206(4)-7 annual reviews
- Lead preparation, filing for RIA registration, and annual updating of Form ADV Parts 1 and 2A; coordinate Form PF drafting, delivery, and version control.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
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