Job Information
Kroll, LLC Vice President, Compliance Consulting in New York, New York
At Kroll, you will provide support and guidance to a wide variety of asset management firms in managing their SEC and FINRA compliance programs. You will work alongside accomplished senior staff, enhancing your own regulatory expertise, while mentoring junior team members and delivering excellent service. You will be part of an award-winning and respected team supporting a global network of clients and colleagues.
Responsibilities:
We are seeking a collaborative individual with a strong understanding of the Investment Advisers Act and FINRA rules and regulations. The ideal candidate will manage multiple clients, provide practical compliance guidance, stay current on regulatory developments and best practices, and contribute to team learning and culture. Responsibilities of a Vice President include, but are not limited to:
Developing and implementing customized compliance policies and procedures across a diverse range of clients
Reviewing marketing materials for compliance with the Advisers Act and FINRA regulations
Conducting testing and surveillance of clients' compliance controls
Managing regulatory filings including Form ADV, Form PF, Form BD, and FINRA filings (U4, U5)
Developing and presenting compliance trainings
Conducting Rule 206(4)-7 annual reviews and producing an annual review report
Conducting annual testing of FINRA rules, including Rule 3120 and Rule 3130
Assisting with FINRA new membership applications
Qualifications:
Bachelor's degree required, legal degree or MBA is a plus
Either:
5 years or more serving in a compliance role in-house with a registered investment adviser, private fund manager, or broker-dealer; or
4 years or more serving as a regulatory compliance consultant
3 years or more serving as a securities compliance examiner with the SEC or FINRA
Compliance experience with AML and/or NFA/CFTC a plus but not required.
Excellent verbal and written communication skills
Strong time management, multi-tasking, and prioritization skills
The ability to work independently to complete assignments and manage multiple responsibilities
The desire to be a part of and a contributor to a diverse team locally and globally
About Kroll
Join the global leader in risk and financial advisory solutions-Kroll. With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. As a part of One Team, One Kroll, you'll contribute to a collaborative and empowering environment, propelling your career to new heights. Ready to build, protect, restore, and maximize our clients' value? Your journey begins with Kroll.
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.
The current New York/California salary range for this position is $90, 000 - $200, 000.
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Equal Opportunity Employer - minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity
Minimum Salary: 0.00 Maximum Salary: 0.00 Salary Unit: Yearly