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:

• Team leader for our broker-dealer compliance business
• Interact with senior management of broker- dealer clients and regulatory authorities.
• Maintain, build and develop client relationships while also identifying and sourcing new opportunities with existing or new clients.
• Act as a key point of contact for clients on engagement delivery on a daily basis while executing on client deliverables.
• Provide technical expertise on complex issues around FINRA and SEC broker-dealer registration, ongoing compliance issues, exam support, mock examinations and reporting.
• Stay abreast of relevant regulatory developments.
• Mentor, develop and motivate staff at the VP, associate and analyst level.

REQUIREMENTS:

• Minimum of 8 years of experience within the legal/consulting/professional services capacity focused on regulatory compliance.
• Bachelor’s degree is required. MBA, JD or equivalent is preferred.
• Strong knowledge of FINRA and SEC broker-dealer regulations.
• Previous regulatory examination experience within FINRA or the SEC, preferred.
• Prior 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 teams

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.

All employees must comply with Kroll’s mandatory vaccination policy, subject to all applicable federal, state, and local laws.

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