Senior Vice President, Compliance Consulting

Kroll • Chicago, IL

16d • $90,000 - $200,000

About The Position

At Kroll, you will provide support and guidance to a wide variety of asset management 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. Kroll is looking for a Senior Vice President to support our Compliance Consulting team. We are seeking a collaborative individual with a strong understanding of the Investment Advisers Act and FINRA rules and regulations. 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.

Requirements

• Bachelor's degree required, legal degree or MBA is a plus
• Either: 8 years or more serving in a compliance role in-house with a registered investment adviser, private fund manager, or broker-dealer; or 7 years or more serving as a regulatory compliance consultant; or 7 years or more serving as a securities compliance examiner with the SEC or FINRA; or Some combination of the listed experience above
• Excellent verbal and written communication skills
• Strong time management, multi-tasking, and prioritization skills
• The ability to work independently to complete assignments and manage multiple responsibilities
• The desire to be a part of and a contributor to a diverse team locally and globally
• Candidates must have an active Series 7 and 24 license

Nice To Haves

• Compliance experience with AML and/or NFA/CFTC a plus but not required.

Responsibilities

• Developing and implementing customized compliance policies and procedures across a diverse range of clients
• Reviewing marketing materials for compliance with the Advisers Act and FINRA regulations
• Conducting testing and surveillance of clients' compliance controls
• Developing and presenting compliance trainings
• Conducting Rule 206(4)-7 annual reviews and producing an annual review report
• Conducting annual testing of FINRA rules, including Rule 3120 and Rule 3130
• Assisting with FINRA new membership applications
• Managing regulatory filings including Form ADV, Form PF, Form BD, and FINRA filings (U4, U5)

Benefits

• Healthcare Coverage: Comprehensive medical, dental, and vision plans.
• Time Off and Leave Policies: Generous paid time off (PTO), paid company holidays, generous parental and family leave.
• Protective Insurances: Life insurance, short- and long-term disability coverage, and accident protection.
• Compensation and Rewards: Competitive salary structures, performance-based incentives, and merit-based compensation reviews.
• Retirement Plans: 401(k) plans with company matching.
• Please note that benefits may vary by region, department and role. We encourage you to speak with your recruiter to learn more about the specific benefits available for your position.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 51-100 employees