VP, Compliance Advisory for RIAs & FINRA

Kroll; Chicago (IL); On-site; USD 90,000 - 165,000; Full time

Benefits offered by this job

Healthcare Coverage

Paid time off & holidays

Life & disability insurance

Competitive compensation

401(k) with company match

Job summary

Kroll is seeking a collaborative compliance professional to advise financial services clients on the Advisers Act and FINRA rules. You will lead multiple engagements, design tailored programs, mentor junior staff, and help grow client relationships within a global firm.

The role requires at least 5 years of relevant experience; a JD or MBA is a plus; CAMS or FINRA licenses are advantageous. You will work across teams to deliver high-quality outcomes for diverse clients.

Qualifications

• Bachelor's degree required; JD or MBA a plus.
• Strong knowledge of Advisers Act and FINRA rules.
• Experience with regulatory filings (Forms ADV, BD, U4/U5).
• Relevant licenses or certifications (e.g., CAMS, FINRA registrations).

Responsibilities

• Serve as day-to-day strategic adviser to clients and coordinate internal teams.
• Act as compliance consultant or OCCO for RIAs, broker-dealers, or RICs.
• Design, implement, and enhance tailored compliance programs and policies.
• Advise on Advisers Act requirements and regulatory examinations, inquiries, remediation.
• Support FINRA membership applications and related regulatory submissions.
• Review marketing materials for SEC and FINRA compliance.
• Monitor regulatory developments and translate into actionable guidance.

Skills

Advisers Act knowledge

FINRA rules knowledge

Client relationship origination

Regulatory filings

Leadership

Project management

Communication skills

Examinations readiness

Education

Bachelor's degree

JD or MBA preferred

CAM S / FINRA licenses a plus

Job description

Kroll is seeking a collaborative compliance professional to advise financial services clients on the Advisers Act and FINRA rules. You will lead multiple engagements, design tailored programs, mentor junior staff, and help grow client relationships within a global firm.

The role requires at least 5 years of relevant experience; a JD or MBA is a plus; CAMS or FINRA licenses are advantageous. You will work across teams to deliver high-quality outcomes for diverse clients.