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Director, Compliance Consulting

United States; Boston, Massachusetts; Chicago, Illinois; New York, New York; 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 21007407 United States; Boston, Massachusetts; Chicago, Illinois; New York, New York; 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.

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:

As a Director you will embrace change and take risks. You will work in a team environment, problem solve and influence others in our Compliance Consulting business.

  • Lead the day-to-day support of the compliance programs for a variety of SEC registered investment advisers.
  • Provide technical expertise on complex regulatory issues, particularly those related to private equity and hedge fund manager managers.
  • Assist with preparing and reviewing regulatory filings, including Form ADV and PF.
  • Lead clients through all phases of regulatory examinations.
  • Monitor relevant regulatory changes and advise clients on developing new internal controls.
  • Mentor and develop the junior staff.

REQUIREMENTS:

  • Minimum of 10 years of experience.
  • Bachelor’s degree is required. MBA or JD or is preferred.
  • Strong knowledge of SEC rules and regulations required.  Familiarity with the CEA and NFA rules a plus.
  • Previous regulatory examination experience.
  • Prior experience giving advice on regulatory matters and demonstrable strong technical skills in compliance issues.
  • Demonstrable experience in building and managing project teams to address complex issues.
  • Risk tolerant and open to working in changing environment 
  • Ability to lead and manage day to day aspects of engagement activities.
  • Excellent written and verbal communication skills.
  • Strong problem solving and influencing skills
  • Experience working in diverse teams

Once you have applied, you will receive a survey from Career Spark to complete – this step is mandatory if you wish to be considered.

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.

The current New York salary range for this position is $125,000 - $250,000

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