Vice President, Compliance Consulting

Kroll; New York (NY); On-site; USD 140,000 - 230,000; Full time

Benefits offered by this job

Healthcare coverage

PTO & holidays

Life & disability insurance

Competitive compensation & incentives

401(k) match

Job summary

Kroll is seeking a collaborative compliance professional in New York to advise a diverse portfolio of financial services clients. You will lead engagements, translate complex regulatory requirements into practical solutions, and help strengthen client compliance programs.

A JD or MBA is a plus, with 5+ years of experience and strong knowledge of Advisers Act and FINRA rules. You will mentor colleagues, grow client relationships, and contribute to a high-performing team.

Qualifications

• 5+ years of compliance experience supporting RIAs, broker-dealers, or registered investment companies.
• 10+ years preferred for broader leadership responsibilities.
• Strong working knowledge of the Advisers Act and FINRA rules and regulations.
• Hands-on experience establishing, managing, testing, or enhancing compliance programs and preparing regulatory filings (Forms ADV, BD, U4/U5).
• Experience with SEC examinations, FINRA oversight, and regulatory inquiries/remediation.
• Track record of building trusted client relationships and originating new business if possible.
• Excellent communication, project management, team leadership, and organizational skills.

Responsibilities

• Serve as the day-to-day strategic adviser to clients, coordinating internal teams to deliver high-quality work on time.
• Act as a compliance consultant and Outsourced Chief Compliance Officer for RIAs, broker-dealers, or registered investment companies; oversee compliance programs and regulatory filings.
• Design, implement, and enhance tailored compliance programs, including policies and procedures, testing, and surveillance under Advisers Act Rule 206(4)-7, FINRA Rules 3120/3130, and Investment Company Act Rule 38a-1.
• Advise on Advisers Act requirements, including registrations, examinations, inquiries, and remediation.
• Support FINRA new membership applications and related regulatory submissions.
• Assist clients with SEC and FINRA inquiries, mock exams, exam readiness, and remediation.
• Review marketing materials for SEC/FINRA compliance.
• Monitor regulatory developments and translate into actionable guidance for clients.
• Cultivate client relationships and identify opportunities to expand Kroll’s support.

Skills

RIAs compliance knowledge

FINRA rules

Advisers Act knowledge

Regulatory filings (Forms ADV/U4/U5)

Client relationships

Leadership

Project management

Communication skills

Mentoring

Bachelor's degree; JD/MBA a plus

Education

Bachelor's degree

Juris Doctor (JD)

MBA

Job description

At Kroll, you will advise a diverse portfolio of financial services firms, including registered investment advisers, broker-dealers, and registered investment companies. You will work alongside experienced senior professionals, deepen your regulatory and consulting expertise, mentor talented colleagues, and play a visible role in growing client relationships within an award-winning global firm.

We are seeking a collaborative, commercially minded compliance professional with strong knowledge of the Investment Advisers Act of 1940 (“Advisers Act”) and FINRA rules. You will lead multiple client engagements, translate complex requirements into practical solutions, and help clients strengthen their compliance programs. The right candidate combines sound regulatory judgment, a high-touch approach to client service, and the ability to develop people and business.

Day to day responsibilities:

• Serve as the day-to-day strategic adviser to clients, providing clear, practical guidance and coordinating internal teams to deliver high-quality work on time.
• Act as a compliance consultant and, where appropriate, Outsourced Chief Compliance Officer for RIAs, broker-dealers, or registered investment companies (RICs), overseeing 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 Advisers Act Rule 206(4)-7, FINRA Rules 3120 and 3130, and Investment Company Act Rule 38a-1.
• 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, translating them into actionable guidance for clients.
• Cultivate new and existing client relationships, identify opportunities to broaden Kroll’s support, and contribute to the continued growth of the practice.
• Mentor and develop junior professionals while fostering a collaborative, inclusive, and high-performing team culture.
• At least 5 years of compliance experience supporting RIAs, broker-dealers, registered investment companies, or a combination of these organizations; 10 or more years is preferred for candidates with broader leadership responsibilities.
• Strong working knowledge of the Advisers Act 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.
• A track record of building trusted client relationships and the ability to originate new business, expand existing engagements, or both.
• Excellent communication, project management, team leadership, and organizational skills.
• The judgment and confidence to manage multiple client engagements independently while collaborating effectively across teams.
• A bachelor's degree; a JD or MBA is a plus.
• Relevant industry certifications or licenses, such as CAMS or FINRA registrations, are a plus.

Additional Experience That Would Be Valuable

• Advising commodity trading advisers, commodity pool operators, or futures commission merchants on NFA and CFTC registration, compliance programs, and examination readiness.
• Supporting registered investment companies, closed-end funds, or business development companies with Investment Company Act compliance, board reporting, and co-investment relief matters.

Healthcare Coverage: Comprehensive medical, dental, and vision plans.

Time Off and Leave Policies: Generous paid time off (PTO), paid company holidays, generous parental and family leave.

Protective Insurances: Life insurance, short- and long-term disability coverage, and accident protection.

Compensation and Rewards: Competitive salary structures, performance-based incentives, and merit-based compensation reviews.

Retirement Plans: 401(k) plans with company matching.

Please note that benefits may vary by region, department and role. We encourage you to speak with your recruiter to learn more about the specific benefits available for your position.

About Kroll

Join the global leader in risk and financial advisory solutions—Kroll. With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. As a 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.

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.