Managing Director, Compliance Consulting

In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you’ll contribute to a supportive and collaborative work environment that empowers you to excel.

Our Compliance Consulting provides expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker dealers.

At Kroll, your work will help deliver clarity to our clients’ most complex governance, risk, and transparency challenges. Apply now to join One team, One Kroll. 

Responsibilities:

• 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.
• Strong knowledge of SEC private fund regulations.
• Previous regulatory examination experience within FINRA or the SEC, preferred.
• Extensive business development experience and a strong network within the investment advisory sector
• Proven client relationship experience giving advice on regulatory matters and demonstrable strong technical skills in regulatory compliance issues.
• Demonstrable experience in building and managing project teams to address complex issues.
• Ability to lead and manage day to day aspects of engagement activities and an ability to work with clients.
• Excellent written and verbal communication skills that help represent diverse communities
• Experience working with diverse team

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.

#LI-Remote