Managing Director, Compliance Consulting

About the role

Kroll is seeking a Managing Director for our US Compliance Consulting service line. Kroll’s Compliance Consulting practice provides expert compliance support for a variety of firms including hedge funds, private equity/credit firms, wealth managers, ’40 Act and BDC managers, NFA/CFTC regulated firms and FINRA member broker dealers. The Managing Director will be expected to develop new business and lead a team of compliance experts dedicated to advising investment advisory firms on regulatory compliance, risk management, and best practices. This leadership position requires deep expertise in the regulations governing this sector and other fiduciary responsibilities. You will guide clients in maintaining compliance with evolving laws, enhance their operational risk management, and assist them in staying ahead of regulatory changes that impact their business operations.

Responsibilities

• Lead and participate in business development initiatives that include targeting external clients, attending industry conferences and speaking engagements.
• Identify new opportunities and proactively develop leads within the asset management sector with specific focus on private investment advisory firms (i.e. Private Equity and Hedge Funds).
• Develop, manage and maintain client relationships with private investment advisory firms while also identifying and sourcing new opportunities with existing or new clients.
• Oversee client delivery, client interface and practice management.
• Interact with Senior Management of investment advisory clients on regulatory requirements and issues.
• Provide technical expertise on complex issues around investment advisory registration, mock examinations, ongoing compliance issues, and reporting.
• Oversee the drafting of compliance manuals, code of ethics, and client monitoring programs as well as regulatory filings such as Form ADV and Form PF.
• Stay abreast of relevant regulatory developments.
• Mentor, develop, and motivate staff at the Director, VP, associate, and analyst levels.

Requirements

• Minimum of 10 years of experience within the legal/regulatory/consulting/professional services capacity focused on regulatory compliance.
• Bachelor’s degree is required.
• MBA, JD or equivalent is preferred.
• Extensive business development experience and a strong network within the investment advisory sector.
• Strong knowledge of SEC private fund regulations.
• Previous regulatory examination experience within FINRA or the SEC, preferred.
• Proven client relationship experience giving advice on regulatory matters and demonstrable