VP, Compliance Advisory for RIAs & FINRA

Kroll; Los Angeles (CA); On-site; USD 90,000 - 165,000; Full time

Benefits offered by this job

Healthcare Coverage

Time Off and Holidays

Life & Disability Insurance

Competitive salary structures

401(k) with company match

Job summary

Kroll seeks a collaborative compliance leader to advise a diverse portfolio of financial services clients, including RIAs, broker-dealers, and registered investment companies. You will mentor colleagues, manage multiple client engagements, and strengthen regulatory programs in a high-impact global firm.

You will collaborate with senior professionals, translate complex requirements into practical solutions, and play a visible role in expanding client relationships while delivering high-quality

Qualifications

• Bachelor's degree required; JD or MBA a plus.
• 5+ years of compliance experience supporting RIAs/BDs/RICs; leadership 10+ years preferred.
• Strong knowledge of Advisers Act and FINRA rules; regulatory filings experience.

Responsibilities

• Serve as day-to-day strategic adviser to clients and coordinate internal teams to deliver high-quality work on time.
• Act as compliance consultant or Outsourced Chief Compliance Officer for RIAs, BD, or RICs; oversee programs and filings (Forms ADV, PF, U4/U5).
• Design and enhance tailored compliance programs, including policies, testing, monitoring, and surveillance under Advisers Act Rule 206(4)-7, FINRA Rules 3120/3130, and 38a-1.

Skills

RIAs experience

FINRA rules

Regulatory filings

Client relationships

Leadership

Education

Bachelor's degree

JD or MBA a plus

Tools

CRM tools

Job description

Kroll seeks a collaborative compliance leader to advise a diverse portfolio of financial services clients, including RIAs, broker-dealers, and registered investment companies. You will mentor colleagues, manage multiple client engagements, and strengthen regulatory programs in a high-impact global firm.

You will collaborate with senior professionals, translate complex requirements into practical solutions, and play a visible role in expanding client relationships while delivering high-quality