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Managing Director, Compliance Consulting

Chicago, Illinois; Los Angeles, California; Dallas, Texas; Boston, Massachusetts

Success Profile

What makes a successful Compliance and Regulatory Consulting employee at Kroll? Check out the traits we’re looking for and see if you have the right mix.

  • Analytical
  • Detail-oriented
  • Insightful
  • Problem-solver
  • Relationship expertise
  • Deadline oriented

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Career Path

Kroll offers many career paths to support your immediate and future success.

  • Analyst leads to Senior Associate
  • Senior Associate leads to Vice President
  • Vice President leads to Director
  • Director leads to Managing Director
  • Managing Director ends this path

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Employee Testimonials

Tammy Li
Working at Kroll has the best of everything. You get to work on a diverse portfolio of clients from top tier investment banks to small boutique hedge funds. While Kroll continues to thrive and grow as a global firm, we still manage to retain a strong sense of family and closeness, and the people at Kroll are truly and genuinely great people to work with.

Tammy Li

Director, Regulatory Consulting, London


  • Professional Development

    Ongoing training and development opportunities at all levels of the firm through programs such as Kroll University, The Promote Program and Network of Women.

  • Global Presence

    As a global firm, our benefits vary by country.

  • Amenities

    Our offices around the globe offer easy access to public transportation, dining, shopping, gyms and many other convenient options.

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Job ID 21007312 Chicago, Illinois; Los Angeles, California; Dallas, Texas; Boston, Massachusetts Apply now

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


  • 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


  • 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

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.



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