Director, Compliance Strategy & Risk (FS)

Kroll

Boston (MA)

On-site

USD 180,000 - 260,000

Full time

5 hours ago

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Job summary

Kroll in Boston seeks a Director to lead the US FSCR Compliance Consulting practice. You will guide compliance strategies for a diverse set of financial firms, owning key client relationships, and mentoring the team as you shape growth and service delivery.

You will oversee regulatory programs, filings, and examinations while driving new business and providing senior-level advisory across Advisers Act, ’40 Act, and FINRA rules.

Qualifications

10–20+ years of compliance experience supporting RIAs and/or broker-dealers.
Strong working knowledge of the Investment Advisers Act of 1940 and FINRA rules.
Experience registering and managing compliance programs.
Familiarity with SEC examination processes and regulatory remediation.
Proven ability to originate and close new business and expand client relationships.
Experience advising CTAs, CPOs, and FCMs on NFA/CFTC requirements.

Responsibilities

Own senior-level client relationships and coordinate engagement teams for high-quality delivery.
Provide strategic oversight of compliance programs, conflicts, and regulatory filings.
Develop tailored compliance programs and lead program development, including NMAs and examinations.
Lead business development by identifying opportunities and expanding engagements.
Mentor and develop team members and contribute to culture and thought leadership.

Skills

Client relationships

Leadership

Business development

Mentoring

Education

Bachelor's degree

JD or MBA

Job description

You will oversee regulatory programs, filings, and examinations while driving new business and providing senior-level advisory across Advisers Act, ’40 Act, and FINRA rules.

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