Director, Compliance Consulting
Kroll · Los Angeles
Director - US FSCR - Compliance Consulting
At Kroll, you will lead the delivery of expert compliance guidance to a diverse range of financial firms, including registered investment advisers, broker-dealers, and registered investment companies. As a senior leader within the practice, you will own and grow key client relationships, serve as a trusted advisor to senior executives and boards, develop and mentor the broader team, and help drive the strategic growth of our award-winning global compliance consulting practice.
Responsibilities
We are seeking an experienced, client-focused leader with deep knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940 (‘40 Act) a plus. The ideal candidate owns a portfolio of client relationships, provides strategic direction on complex compliance matters, leads and develops engagement teams, drives business development, and helps shape the growth, culture, and thought leadership of the practice.
What You'll Do
- Own senior-level client relationships as the primary point of contact for strategic compliance guidance, leading and coordinating engagement teams to ensure high-quality, timely delivery across a portfolio of clients
Serve as a senior consultant or Outsourced CCO for RIAs, broker-dealers, and registered funds, providing strategic oversight of compliance programs, conflicts of interest, Codes of Ethics, and regulatory filings (Forms ADV, PF, BD, U4/U5) under the Advisers Act, ’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)
Lead compliance program development and administration, including SEC and FINRA registrations, FINRA New Membership Applications (NMAs), policies and procedures, testing, surveillance, and regulatory filings (Forms ADV, PF, BD, and U4/U5).
- Advise clients on Advisers Act obligations including leading new registrations for RIAs and ERAs and regulatory exams or inquiries
- Lead with SEC and/or FINRA examinations, inquiries, remediation efforts and mock exams
- Review marketing materials for broker-dealers and RIAs
- Monitor regulatory developments, SEC examination priorities, and enforcement trends affecting RIAs, broker-dealers, and registered funds, and advise clients on their strategic implications
- Drive business development by identifying new opportunities, leading proposals, expanding existing engagements, and cultivating relationships with prospects and referral sources
- Lead, mentor, and develop team members, including junior staff, and contribute to the growth, training, and culture of the practice
- Contribute to thought leadership through publications, webinars, and speaking engagements that enhance Kroll’s market presence and brand
What You Bring
- 10–20+ years of compliance experience supporting RIAs and/or broker-dealers, including a track record of leading engagements and client relationships
- Strong working knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations
- Experience registering and managing compliance programs
- Familiarity with SEC examination processes, FINRA oversight, and regulatory remediation
- Proven ability to originate and close new business and expand existing client relationships
- Excellent client communication, team leadership, and organizational skills, with demonstrated ability to develop talent and manage engagement teams
- Proven ability to lead and grow multiple client engagements while contributing to business development and a collaborative team culture
- Bachelor's degree required; JD or MBA a plus
Relevant industry certifications (CAMS, FINRA licenses etc.)
- Experience with ’40 Act, registered funds and/or BDCs
- Experience advising CTAs, CPOs, and FCMs on NFA and CFTC requirements, including registration, compliance programs, and exam preparedness
Why Join Kroll?
Join the global leader in risk and financial advisory solutions. With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. As part of One Team, One Kroll, you'll contribute to a collaborative and empowering environment, propelling your career to new heights. Ready to build, protect, restore, and maximize our clients' value? Your journey begins with Kroll.
Apply Today
Interested candidates must formally apply via: careers.kroll.com
Kroll is committed to creating an inclusive work environment. 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.
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