Senior Vice President, Compliance Consulting
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Job Location:
Chicago, IL - USA
Monthly Salary:
Not Disclosed
Posted on:
19 hours ago
Vacancies:
1 Vacancy
Job Summary
At Kroll you will provide support and guidance to a wide variety of asset management firms in managing their SEC and FINRA 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.
Kroll is looking for a Senior Vice President to support our Compliance Consulting team. We are seeking a collaborative individual with a strong understanding of the Investment Advisers Act and FINRA rules and regulations. The ideal candidate will manage multiple clients provide practical compliance guidance stay current on regulatory developments and best practices and contribute to team learning and culture. Responsibilities of a Senior Vice President include but are not limited to:
Day-to-day responsibilities:
Developing and implementing customized compliance policies and procedures across a diverse range of clients
Reviewing marketing materials for compliance with the Advisers Act and FINRA regulations
Conducting testing and surveillance of clients compliance controls
Developing and presenting compliance trainings
Conducting Rule 206(4)-7 annual reviews and producing an annual review report
Conducting annual testing of FINRA rules including Rule 3120 and Rule 3130
Assisting with FINRA new membership applications
Managing regulatory filings including Form ADV Form PF Form BD and FINRA filings (U4 U5)
Essential Traits:
Bachelors degree required legal degree or MBA is a plus
Either:
8 years or more serving in a compliance role in-house with a registered investment adviser private fund manager or broker-dealer; or
7 years or more serving as a regulatory compliance consultant; or
7 years or more serving as a securities compliance examiner with the SEC or FINRA; or
Some combination of the listed experience above
Compliance experience with AML 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
Candidates must have an active Series 7 and 24 license
Your recruiter will be happy to walk you through your U.S.-specific benefits which include:
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.
Please note that benefits may vary by region department and role. We encourage you to speak with your recruiter to learn more about the specific benefits available for your position.
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 $90000 to $200000
Required Experience:
Senior Exec
Key Skills
- Business Development
- Risk Management
- Financial Services
- Management Experience
- Profit & Loss
- Banking
- Regulatory Reporting
- Analysis Skills
- Relationship Management
- Financial Analysis
- Leadership Experience
- negotiation
About Company
Kroll’s Restructuring Administration practice, formerly Prime Clerk, offers end-to-end restructuring administration services with unrivaled experts and technology. Read more.
