VP, Compliance Strategy for Financial Firms

Kroll; Dallas (TX); Vor Ort; USD 90.000 - 165.000; Vollzeit

Benefits dieser Stelle

Healthcare coverage

Paid time off

Life insurance

401(k) with company match

Zusammenfassung

Kroll, a global leader in risk and financial advisory solutions, seeks a collaborative compliance professional to advise RIAs, broker-dealers, and registered investment companies. You will lead engagements, translate complex requirements, and grow client relationships within a high-performing team.

The role emphasizes Advisers Act and FINRA expertise, designing compliant programs, guiding regulatory filings, and mentoring colleagues while expanding Kroll's practice footprint in the US.

Qualifikationen

• Five+ years of compliance experience with RIAs, broker-dealers, or registered investment companies.
• Strong knowledge of the Advisers Act and FINRA rules.
• Experience building and testing compliance programs and preparing regulatory filings (Forms ADV, BD, U4/U5).
• Experience with SEC examinations and regulator inquiries.

Aufgaben

• Advise clients and coordinate internal teams to deliver high-quality work on time.
• Act as Outsourced Chief Compliance Officer for RIAs, broker-dealers, or registered investment companies.
• Design and enhance compliance programs, policies, testing, and surveillance under Advisers Act Rule 206(4)-7, FINRA Rules 3120 and 3130, and Investment Company Act Rule 38a-1.
• Cultivate client relationships and grow the practice.

Kenntnisse

Advisers Act knowledge

FINRA rules

Regulatory filings

Client relationship management

Regulatory examinations experience

Leadership

Regulatory judgment

Ausbildung

Bachelor's degree

JD or MBA preferred

Jobbeschreibung

Kroll, a global leader in risk and financial advisory solutions, seeks a collaborative compliance professional to advise RIAs, broker-dealers, and registered investment companies. You will lead engagements, translate complex requirements, and grow client relationships within a high-performing team.

The role emphasizes Advisers Act and FINRA expertise, designing compliant programs, guiding regulatory filings, and mentoring colleagues while expanding Kroll's practice footprint in the US.