Vice President, Compliance Consulting

Kroll • New York, NY

5d • $90,000 - $165,000 • Hybrid

About The Position

At Kroll, the Vice President, Compliance Consulting advises a diverse portfolio of financial services firms, including registered investment advisers, broker-dealers, and registered investment companies. The role leads multiple client engagements, translates complex regulatory requirements into practical solutions, strengthens clients’ compliance programs, develops colleagues, and contributes to client relationship and practice growth. The position combines regulatory judgment, high-touch client service, team leadership, and commercial development.

The Vice President serves as a day-to-day strategic adviser and compliance consultant, and may act as an Outsourced Chief Compliance Officer where appropriate. The role oversees compliance programs, codes of ethics, conflicts management, and regulatory filings; designs and enhances tailored compliance programs; advises on registrations, examinations, inquiries, and remediation; and supports clients with SEC and FINRA matters. It also monitors regulatory developments, reviews marketing and communications materials, cultivates client relationships, and mentors junior professionals.

Kroll describes itself as a global risk and financial advisory firm with a collaborative environment. The current salary range is $90,000 to $165,000. Benefits may vary by region, department, and role.

Requirements

• At least 5 years of compliance experience supporting RIAs, broker-dealers, registered investment companies, or a combination of these organizations.
• Strong working knowledge of the Investment Advisers Act of 1940 and FINRA rules and regulations.
• Hands-on experience establishing, managing, testing, or enhancing compliance programs and preparing regulatory filings such as Forms ADV and BD and Forms U4 and U5.
• Experience with SEC examinations, FINRA oversight, regulatory inquiries, and remediation.
• Track record of building trusted client relationships and ability to originate new business, expand existing engagements, or both.
• Excellent communication, project management, team leadership, and organizational skills.
• Judgment and confidence to manage multiple client engagements independently while collaborating effectively across teams.
• Bachelor’s degree.

Nice To Haves

• 10 or more years of compliance experience, preferred for candidates with broader leadership responsibilities.
• JD or MBA.
• Relevant industry certifications or licenses, such as CAMS or FINRA registrations.
• Experience advising commodity trading advisers, commodity pool operators, or futures commission merchants on NFA and CFTC registration, compliance programs, and examination readiness.
• Experience supporting registered investment companies, closed-end funds, or business development companies with Investment Company Act compliance, board reporting, and co-investment relief matters.

Responsibilities

• Serve as the day-to-day strategic adviser to clients, provide practical guidance, and coordinate internal teams to deliver high-quality work on time.
• Act as a compliance consultant and, where appropriate, an Outsourced Chief Compliance Officer for RIAs, broker-dealers, or registered investment companies.
• Oversee compliance programs, codes of ethics, conflicts management, and regulatory filings, including Forms ADV, PF, and BD and Forms U4 and U5.
• Design, implement, and enhance tailored compliance programs, including policies and procedures, testing, monitoring, and surveillance under relevant SEC, FINRA, and Investment Company Act rules.
• Advise on Advisers Act requirements, including new registrations for RIAs and exempt reporting advisers, regulatory examinations, inquiries, and remediation.
• Support FINRA new membership applications and related regulatory submissions.
• Assist clients with SEC and FINRA inquiries, mock examinations, exam readiness, and remediation efforts.
• Review marketing and communications materials for compliance with SEC and FINRA requirements.
• Monitor regulatory developments, examination priorities, and enforcement trends and translate them into actionable client guidance.
• Cultivate new and existing client relationships, identify opportunities to broaden Kroll’s support, and contribute to practice growth.
• Mentor and develop junior professionals and foster a collaborative, inclusive, high-performing team culture.

Benefits

• Comprehensive medical, dental, and vision plans.
• Generous paid time off and paid company holidays.
• Generous parental and family leave.
• Life insurance, short- and long-term disability coverage, and accident protection.
• Competitive salary structures, performance-based incentives, and merit-based compensation reviews.
• 401(k) plans with company matching.

What This Job Offers

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