Director, Compliance Consulting

Responsibilities

• 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 and/or Outsourced CCO for registered investment advisers (RIAs), broker-dealers, or registered investment companies (RICs) clients—providing strategic oversight of compliance programs, codes of ethics, conflicts of interest, and regulatory filings (Forms ADV, PF, BD; U4/U5).
• 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.
• Aid with SEC and/or FINRA regulatory inquires.
• 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, 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.

Requirements

• 10–20+ years of compliance experience supporting RIAs, broker-dealers, and/or RICs, including a track record of leading engagements and client relationships.
• 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—plus but not required.
• 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.)—additional but not required.
• Experience advising CTAs, CPOs, and FCMs on NFA and CFTC requirements, including registration, compliance programs, and exam preparedness.
• Familiarity with U.S. Money Transmitter Licenses (MTLs), FinCEN MSB registration, and state financial licensing processes.
• Familiarity with bank charter formation, including de novo charter (OCC, state) and FDIC deposit insurance applications.