Director, Compliance Consulting
Director, Compliance Consulting
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Job Description
Join our Compliance Consulting team (USCC) as a Director! At Kroll you will provide support and guidance to a wide variety of asset management firms in managing their SEC compliance programs. 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 and respected team supporting a global network of clients and colleagues.
Responsibilities:
- We are seeking an individual interested in working within a cooperative environment who has a strong grasp of the Investment Advisers Act and the rules and regulations thereunder and compliance with same. You must be capable of managing multiple clients and providing sound practical guidance staying up to date on regulatory developments and best practices and contributing to team learning and culture.
- Responsibilities of a Director include but are not limited to:
- Developing and implementing customized compliance policies and procedures across a diverse range of clients
- Reviewing marketing materials for compliance with the Advisers Act
- Conducting testing and surveillance of clients compliance controls
- Managing regulatory filings including Form ADV Form PF
- Developing and presenting compliance trainings
- Conducting Rule 206(4)-7 annual reviews and producing an annual review report
- Assisting with the monitoring of Rule 204A-1 Code of Ethics reporting
Qualifications:
- Bachelors degree required legal degree or MBA is a plus
- Either:
- 10 years or more serving in a compliance role in-house with a registered investment adviser or private fund manager; or
- 10 years or more serving as a regulatory compliance consultant
- 10 years or more serving as a securities compliance examiner with the SEC
- Compliance experience with AML FINRA and/or NFA/CFTC a plus but not required.
- Excellent verbal and written communication skills
- Strong time management multi-tasking and prioritization skills
- The ability to work independently to complete assignments and manage multiple responsibilities
- The desire to be a part of and a contributor to a diverse team locally and globally
About Kroll
Join the global leader in risk and financial advisory solutionsKroll. With a nearly century-long legacy we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. As a part of One Team One Kroll youll 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.
In order to be considered for a position you must formally apply via .
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.
The current salary range for this position is $125000 to $250000
#DNI
Required Experience:
Director
Employment Type
Full-Time
