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Vice President, Compliance Consulting

New York, New York; Chicago, Illinois; Boston, Massachusetts; Philadelphia, Pennsylvania; Washington D.C., District of Columbia

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

Benefits

  • 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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Description

Job ID 21004296 New York, New York; Chicago, Illinois; Boston, Massachusetts; Philadelphia, Pennsylvania; Washington D.C., District of Columbia 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. 

Kroll's Compliance Consulting practice assists clients in setting up firms, obtaining their initial authorization or registration, and providing them with ongoing compliance advice to navigate the rapidly changing regulatory landscape.

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:

  • Oversee day-to-day support in the development, implementation and maintenance of compliance programs for a variety of registered investment advisers;
  • Oversee the registration process for investment advisers with the SEC;
  • Conduct annual compliance reviews;
  • Conduct regulatory mock exams;
  • Conduct compliance trainings;
  • Assist in providing SEC exam support;
  • Assist with preparing and reviewing regulatory filings including Form ADVs and Form PFs;
  • Monitor relevant regulatory changes and assist clients in developing internal controls, accordingly;
  • Develop client relationships and oversee junior staff;
  • Proactively provide practical, business friendly solutions for esoteric regulatory issues.

REQUIREMENTS:

  • Undergraduate degree required;
  • 5+ years business related experience;
  • Thorough knowledge of the Investment Advisers Act of 1940;
  • Excellent written and verbal communication skills;
  • Thorough understanding of, and experience with, compliance program development and maintenance; and
  • Strong, independent self –starter, as well as collaborative problem solver.

      In order to be considered for a position at Kroll, 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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