Senior Vice President, Compliance Consulting

About the role

Provide expert compliance guidance to a diverse range of financial firms, including registered investment advisers, broker-dealers, and registered investment companies. Work alongside accomplished senior staff, deepen your regulatory expertise, mentor junior team members, and deliver outstanding client service as part of an award-winning global team.

Responsibilities

• Serve as the day-to-day client contact for compliance guidance and questions, managing and coordinating an internal team to ensure timely delivery of client deliverables.
• Serve as a consultant and/or Outsourced CCO for registered investment advisers (RIAs), broker-dealers, or registered investment companies (RICs) clients—overseeing compliance programs, codes of ethics, conflicts of interest, and regulatory filings (Forms ADV, PF, BD; U4/U5) under the Advisers Act, Investment ‘40 Act, and FINRA rules.
• 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.
• Assist with SEC and/or FINRA regulatory inquiries.
• 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.

Requirements

• 5–10+ years of compliance experience supporting RIAs, broker-dealers, and/or RICs.
• 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.
• Proven ability to originate and close new business and expand existing client relationships.
• Excellent client communication, team management, and organizational skills.
• Ability to manage multiple client engagements independently while contributing to a collaborative team.
• Bachelor's degree required; JD or MBA a plus.
• Relevant industry certifications (CAMS, FINRA licenses etc.).

Preferred Qualifications

• 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.
• 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.

Benefits

• 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.

Pay

The current salary range for this position is $90,000 to $175,000.

About Kroll

Join the global leader in risk and financial advisory solutions—Kroll. 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, you'll contribute to a collaborative and empowering environment, propelling your career to new heights.