VP, Compliance Strategy for RIAs & Broker-Dealers

Kroll; Miami (FL); On-site; USD 90,000 - 165,000; Full time

Benefits offered by this job

Healthcare coverage

Generous PTO

Life and disability insurance

401(k) with company matching

Competitive compensation

Job summary

Kroll, a global leader in risk and financial advisory, seeks a collaborative compliance professional in the United States to advise a diverse portfolio of RIAs, broker-dealers, and registered investment companies. You will lead engagements, translate complex requirements into practical solutions, and grow client relationships.

With at least five years of compliance experience and deep Advisers Act and FINRA knowledge, you will design programs, supervise regulatory filings, and mentor junior

Qualifications

• At least 5 years of compliance experience supporting RIAs, broker-dealers, or RICs.
• Strong knowledge of Advisers Act and FINRA rules.
• Experience designing and testing compliance programs and regulatory filings.
• Experience with SEC examinations and regulatory inquiries.
• Ability to develop client relationships and originate business.
• Bachelor's degree; JD or MBA is a plus.
• Certifications such as CAMS or FINRA registrations are a plus.

Responsibilities

• Serve as day-to-day strategic adviser to clients and coordinate internal teams.
• Act as compliance consultant or Outsourced Chief Compliance Officer for RIAs/BDs/RICs.
• Design and enhance tailored compliance programs, policies, tests, and surveillance.
• Advise on Advisers Act requirements, registrations, and examinations.
• Support FINRA new membership applications and regulatory submissions.
• Assist with SEC and FINRA inquiries and mock examinations.
• Review marketing materials for SEC/FINRA compliance.
• Monitor regulatory developments and translate into actionable guidance.
• Grow client relationships and mentor junior professionals.
• Foster collaborative, high-performing team culture.

Skills

RIAs/BDs/RICs experience

Regulatory knowledge

Client relationship development

Project leadership

Regulatory filings (ADV, BD, U4/U5)

SEC/FINRA examinations experience

Communication skills

Education

Bachelor's degree

Juris Doctor (JD) or MBA

Job description

Kroll, a global leader in risk and financial advisory, seeks a collaborative compliance professional in the United States to advise a diverse portfolio of RIAs, broker-dealers, and registered investment companies. You will lead engagements, translate complex requirements into practical solutions, and grow client relationships.

With at least five years of compliance experience and deep Advisers Act and FINRA knowledge, you will design programs, supervise regulatory filings, and mentor junior