Senior Vice President, Compliance Consulting

At Kroll, you will provide expert compliance guidance to a diverse range of financial firms, including registered investment advisers, broker-dealers, and registered investment companies. You will work alongside accomplished senior staff, deepen your regulatory expertise, mentor junior team members, and deliver outstanding client service as part of an award-winning global team. Day-to-day Responsibilities Serve as the day‑to‑day client contact for compliance guidance and questions, managing and coordinating an internal team to ensure timely delivery of client deliverables Serve as Outsourced CCO for RIA, broker‑dealer, and/or registered investment company (RIC) clients‑overseeing compliance programs, codes of ethics, conflicts of interest, and regulatory filings (Forms ADV, PF, BD; U4/U5) under the Advisers Act, Investment ’40 Act, and FINRA rules. Develop and implement tailored compliance programs, including written policies, procedures, testing, and surveillance in accordance with Rule 206(4)-7 (Advisers Act), Rule 3120/3130 (FINRA), and Rule 38a-1 (’40 Act) Advise clients on Advisers Act obligations including leading new registrations for RIAs and ERAs and regulatory exams or inquiries Support registered investment companies, closed‑end funds, and BDCs on ’40 Act compliance, board reporting, and co‑investment relief matters Assist with SEC and/or FINRA regulatory inquiries Review marketing materials for FINRA, SEC, ’40 Act compliance; support FINRA membership applications and mock regulatory examinations Monitor regulatory developments, SEC examination priorities, and enforcement trends affecting RIAs, broker‑dealers, and registered funds Additional Qualifications But Not Required Direct experience with U.S. Money Transmitter Licenses (MTLs), FinCEN MSB registration, and state‑level financial licensing processes, including familiarity with regulatory portals and submission procedures Experience with or strong familiarity with bank charter formation processes, including de novo charter applications (OCC, state banking departments), FDIC deposit insurance applications, and the regulatory expectations for business plans, capital adequacy, and compliance infrastructure required of newly chartered institutions Essential Traits 5–10+ years of compliance experience supporting RIAs, broker‑dealers, and/or RICs Strong working knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the ’40 Act Experience registering and managing compliance programs, including policies and procedures, testing, and regulatory filings (Form ADV, BD, U4/U5) Familiarity with SEC examination processes, FINRA oversight, and regulatory remediation Regulatory compliance experience within a payments fintech, crypto exchange, money services business, bank, or similar financial services firm, with a focus on digital asset or cryptocurrency compliance- a plus but not required Excellent client communication, team management, and organizational skills Ability to manage multiple client engagements independently while contributing to a collaborative team Bachelor's degree required; JD or MBA a plus; NFA/CFTC experience beneficial but not required Relevant industry certifications (CAMS, FINRA licenses etc.) Benefits Healthcare Coverage: Comprehensive medical, dental, and vision plans. Time Off and Leave Policies: Generous paid time off (PTO), paid company holidays, generous parental and family leave. Protective Insurances: Life insurance, short- and long‑term disability coverage, and accident protection. Compensation and Rewards: Competitive salary structures, performance‑based incentives, and merit‑based compensation reviews. Retirement Plans: 401(k) plans with company matching. Salary range for this position is $90,000 to $175,000. We are proud to be an equal opportunity employer and will consider all qualified applicants regardless of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status, age or disability. #J-18808-Ljbffr Kroll