Senior Compliance Strategy Lead, RIAs & FINRA

Kroll; Atlanta (GA); On-site; USD 90,000 - 165,000; Full time

Benefits offered by this job

Healthcare Coverage

Time Off and Leave Policies

Life and Disability Insurance

401(k) Plan

Job summary

Kroll is seeking a collaborative compliance professional with deep knowledge of the Advisers Act and FINRA rules to advise a diverse client base including RIAs, broker-dealers, and registered investment companies. You will lead engagements, translate complex requirements into practical solutions, and help strengthen clients’ compliance programs.

You will mentor junior professionals, manage multiple engagements, and contribute to the growth of Kroll’s compliance practice within a global firm.

Qualifications

• 5+ years of compliance experience supporting RIAs, broker-dealers, or RICs.
• Deep knowledge of Advisers Act and FINRA rules.
• Experience designing and testing compliance programs and regulatory filings.
• Experience with SEC examinations and remediation.
• Proven ability to grow client relationships and lead teams.

Responsibilities

• Serve as day-to-day strategic adviser to clients and coordinate internal teams to deliver high-quality work on time.
• Act as an Outsourced Chief Compliance Officer for RIAs, broker-dealers, or RICs, overseeing programs and filings (ADV, PF, BD, U4, U5).
• Design, implement and enhance tailored compliance programs, including policies, testing, and surveillance under Advisers Act Rule 206(4)-7, FINRA Rules 3120/3130, and Rule 38a-1.
• Advise on Advisers Act requirements, registrations for RIAs, and regulatory examinations/remediation.
• Support SEC/FINRA inquiries, mock exams and exam readiness.
• Review marketing materials for SEC/FINRA compliance.
• Monitor regulatory developments and translate them into actionable guidance for clients.
• Cultivate and expand client relationships and contribute to practice growth.
• Mentor junior professionals and foster a collaborative team culture.

Skills

Regulatory knowledge

Client relationship management

Regulatory filings

Leadership

Education

Bachelor's degree

JD or MBA (plus)

Job description

Kroll is seeking a collaborative compliance professional with deep knowledge of the Advisers Act and FINRA rules to advise a diverse client base including RIAs, broker-dealers, and registered investment companies. You will lead engagements, translate complex requirements into practical solutions, and help strengthen clients’ compliance programs.

You will mentor junior professionals, manage multiple engagements, and contribute to the growth of Kroll’s compliance practice within a global firm.