Senior Vice President, Compliance Consulting

Job description

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. Day-to-day 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...