Job DescriptionAt Kroll, you will provide expert compliance guidance to a diverse range of financial firms, including registered investment advisers, broker-dealers, and registered investment companies. You will work alongside accomplished senior staff, deepen your regulatory expertise, mentor junior team members, and deliver outstanding client service as part of an award-winning global team.
Day-to-day responsibilities:We are seeking a collaborative, client-focused professional with deep knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940 ('40 Act) a plus. The ideal candidate manages multiple client relationships, delivers practical compliance solutions, stays current on regulatory developments, and contributes to team growth and culture.
- Serve as the day-to-day client contact for compliance guidance and questions, managing and coordinating an internal team to ensure timely delivery of client deliverables
- Serve as Outsourced CCO for RIA, broker-dealer, and/or registered investment company (RIC) clients- overseeing compliance programs, codes of ethics, conflicts of interest, and regulatory filings (Forms ADV, PF, BD; U4/U5) under the Advisers Act, Investment '40 Act, and FINRA rules.
- Develop and implement tailored compliance programs, including written policies, procedures, testing, and surveillance in accordance with Rule 206(4)-7 (Advisers Act), Rule 3120/3130 (FINRA), and Rule 38a-1 ('40 Act)
- Advise clients on Advisers Act obligations including leading new registrations for RIAs and ERAs and regulatory exams or inquiries
- Support registered investment companies, closed-end funds, and BDCs on '40 Act compliance, board reporting, and co-investment relief matters
- Assist with SEC and/or FINRA regulatory inquires
- Review marketing materials for FINRA, SEC, '40 Act compliance; support FINRA membership applications and mock regulatory examinations
- Monitor regulatory developments, SEC examination priorities, and enforcement trends affecting RIAs, broker-dealers, and registered funds
Additional qualifications but not required:
- Direct experience with U.S. Money Transmitter Licenses (MTLs), FinCEN MSB registration, and state-level financial licensing processes, including familiarity with regulatory portals and submission procedures
- Experience with or strong familiarity with bank charter formation processes, including de novo charter applications (OCC, state banking departments), FDIC deposit insurance applications, and the regulatory expectations for business plans, capital adequacy, and compliance infrastructure required of newly chartered institutions
Essential traits: - 5-10+ years of compliance experience supporting RIAs, broker-dealers, and/or RICs
- Strong working knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the '40 Act
- Experience registering and managing compliance programs, including policies and procedures, testing, and regulatory filings (Form ADV, BD, U4/U5)
- Familiarity with SEC examination processes, FINRA oversight, and regulatory remediation
- Regulatory compliance experience within a payments fintech, crypto exchange, money services business, bank, or similar financial services firm, with a focus on digital asset or cryptocurrency compliance- a plus but not required
- Excellent client communication, team management, and organizational skills
- Ability to manage multiple client engagements independently while contributing to a collaborative team
- Bachelor's degree required; JD or MBA a plus; NFA/CFTC experience beneficial but not required
- Relevant industry certifications (CAMS, FINRA licenses etc.)
Your recruiter will be happy to walk you through your U.S.-specific benefits, which include:
- Healthcare Coverage: Comprehensive medical, dental, and vision plans.
- Time Off and Leave Policies: Generous paid time off (PTO), paid company holidays, generous parental and family leave.
- Protective Insurances: Life insurance, short- and long-term disability coverage, and accident protection.
- Compensation and Rewards: Competitive salary structures, performance-based incentives, and merit-based compensation reviews.
- Retirement Plans: 401(k) plans with company matching.
Please note that benefits may vary by region, department and role. We encourage you to speak with your recruiter to learn more about the specific benefits available for your position.
In order to be considered for a position, you must formally apply via careers.kroll.com.
The current salary range for this position is $90,000 to $175,000
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