At Kroll, you will provide expert compliance guidance to a diverse range of financial firms, including registered investment advisers, broker-dealers, and registered investment companies. You will 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.

We are seeking a collaborative, client-focused professional with deep knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940 a plus. The ideal candidate manages multiple client relationships, delivers practical compliance solutions, stays current on regulatory developments, and contributes to team growth and culture.

Day-to-day 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 Outsourced CCO for RIA and broker-dealer clients, overseeing compliance programs, codes of ethics, conflicts of interest, and regulatory filings (Form ADV, PF, BD; U4/U5) under the Advisers Act and applicable 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 (Investment Company 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 Investment Company Act compliance, board reporting, and co-investment relief matters

• Assist with SEC and/or FINRA regulatory inquires

• Review marketing materials for FINRA and SEC 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

Essential Traits:

• 5–10+ years of compliance experience supporting RIAs, broker-dealers, and/or registered investment companies

• Strong working knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940

• 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

• 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; NFA/CFTC experience beneficial but not required

• Relevant industry certifications (CAMS, FINRA licenses etc.)

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. 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 careers.kroll.com.

Kroll is committed to creating an inclusive work environment. 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.

Salary range for this role is $90,000 - $175,000 USD

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