Director, Compliance Consulting

Director - US FSCR - Compliance Consulting

At Kroll, you will lead the delivery of expert compliance guidance to a diverse range of financial firms, including registered investment advisers, broker-dealers, and registered investment companies. As a senior leader within the practice, you will own and grow key client relationships, serve as a trusted advisor to senior executives and boards, develop and mentor the broader team, and help drive the strategic growth of our award-winning global compliance consulting practice.

Responsibilities

We are seeking an experienced, client-focused leader with deep knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940 (‘40 Act) a plus. The ideal candidate owns a portfolio of client relationships, provides strategic direction on complex compliance matters, leads and develops engagement teams, drives business development, and helps shape the growth, culture, and thought leadership of the practice. This includes but is not limited to:

• Own senior-level client relationships as the primary point of contact for strategic compliance guidance, leading and coordinating engagement teams to ensure high-quality, timely delivery across a portfolio of clients
• Serve as a senior consultant and/or Outsourced CCO for registered investment advisers (RIAs), broker-dealers, or registered investment companies (RICs) clients- providing strategic oversight of compliance programs, codes of ethics, conflicts of interest, and regulatory filings (Forms ADV, PF, BD; U4/U5) under the Advisers Act, Investment ‘40 Act, and 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 (’40 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 ‘40 Act compliance, board reporting, and co-investment relief matters
• Assist with SEC and/or FINRA regulatory inquires
• Review marketing materials for FINRA, SEC, ‘40 Act 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, and advise clients on their strategic implications
• Drive business development by identifying new opportunities, leading proposals, expanding existing engagements, and cultivating relationships with prospects and referral sources
• Lead, mentor, and develop team members, including junior staff, and contribute to the growth, training, and culture of the practice
• Contribute to thought leadership through publications, webinars, and speaking engagements that enhance Kroll’s market presence and brand

Requirements

• 10–20+ years of compliance experience supporting RIAs, broker-dealers, and/or RICs, including a track record of leading engagements and client relationships
• Strong working knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the ‘40 Act
• 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
• Regulatory compliance experience within a payments fintech, crypto exchange, money services business, bank, or similar financial services firm, with a focus on digital asset or cryptocurrency compliance- a plus but not required
• Proven ability to originate and close new business and expand existing client relationships
• Excellent client communication, team leadership, and organizational skills, with demonstrated ability to develop talent and manage engagement teams
• Proven ability to lead and grow multiple client engagements while contributing to business development and a collaborative team culture
• Bachelor's degree required; JD or MBA a plus

• Relevant industry certifications (CAMS, FINRA licenses etc.) 

Additional but not required:

• Experience advising CTAs, CPOs, and FCMs on NFA and CFTC requirements, including registration, compliance programs, and exam preparedness
• Familiarity with U.S. Money Transmitter Licenses (MTLs), FinCEN MSB registration, and state financial licensing processes

• Familiarity with bank charter formation, including de novo charter (OCC, state) and FDIC deposit insurance applications

  
  

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 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.

Interested candidates 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.

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