Director, Compliance Consulting

Director, Compliance Consulting
At Kroll, you will deliver expert advice and guidance to a wide variety of financial firms in managing their SEC Investment Advisers Act of 1940 and the Investment Company Act of 1940 compliance requirements. You will work alongside accomplished senior staff, enhancing your own regulatory expertise while mentoring junior team members and delivering excellent service. You will be part of an award-winning team supporting a global network of clients and colleagues.

Our Compliance Consulting team provides expert compliance support for a variety of firms including hedge funds, private fund managers (e.g., equity, real estate, credit), business development companies (BDCs), registered funds under the Investment Company Act of 1940, wealth managers, corporate finance firms, NFA/CFTC-registered firms such as commodity pool operators (CPOs) and commodity trading advisors (CTAs), FINRA broker-dealers and banks.

Responsibilities 

• Oversee and direct compliance programs for a variety of SEC-registered investment advisers (RIAs) and registered funds (including BDCs and ’40 Act funds) and/or NFA/CFTC-registered clients.

• Provide technical expertise on complex regulatory issues, including matters under the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

• Develop and implement tailored compliance programs, including written policies, procedures and testing including annual Rule 206(4)-7 and Rule 38a-1 reviews.

• Direct and oversee the preparation of regulatory filings (Form ADV, PF, and fund-related filings as applicable).

• Monitor relevant regulatory changes and advise clients on developing new internal controls.

• Serve as an Outsourced CCO for RIA and/or fund clients, overseeing the compliance program.

• Lead clients through all phases of regulatory examinations.

• Mentor and develop junior staff.

Requirements 

• Minimum of 10 years of experience.

• Bachelor’s degree required; MBA or JD preferred.

• Strong knowledge of SEC Advisers Act rules and regulations, including the Investment Company Act of 1940, required.

• Demonstrated expertise in regulatory matters and strong technical compliance skills, including past regulatory examination experience.

• Proven ability to lead project teams and oversee daily client engagements while resolving complex issues.

• Experience with BDCs and/or registered funds (’40 Act) strongly preferred.

• Familiarity with bank regulatory compliance frameworks (e.g., prudential regulation, AML/BSA), FINRA and NFA/CFTC compliance is helpful.

• Familiarity with digital asset regulations and emerging rules a plus.

• Excellent written and verbal communication skills.

• Business development skills a plus.

Why Join Kroll?
Join the global leader in risk and financial advisory solutions where your expertise shapes outcomes for the world's leading financial institutions.  With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. At Kroll, you'll work alongside top-tier professionals, tackle complex regulatory challenges, and build a career with real impact. One Team, One Kroll.

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.

Apply Today
Interested candidates must formally apply via: careers.kroll.com

Kroll is an equal-opportunity employer. We welcome applicants of all backgrounds, identities, and abilities.

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