Senior Compliance Leader for RIAs & BDs
Kroll
Kroll is seeking a seasoned compliance professional to guide and manage regulatory programs for a diverse client base including RIAs, broker-dealers, and registered investment companies. You will supervise an internal team, address complex compliance questions, and mentor junior staff within a global award-winning team. You will serve as Outsourced CCO, oversee policies, filings, and testing under Advisers Act/40 Act, and stay ahead of evolving FINRA and SEC expectations while delivering #J-18808-Ljbffr Kroll
Vacancy posted 8 hours ago
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