Vice President, Compliance Consulting (Finance)
Do you have experience working with the National Futures Association ("NFA") and the U.S. Securities and Exchange Commission ("SEC") Then we would love to speak with you!
We are looking for smart, fun, ambitious individuals with solid knowledge of NFA and SEC regulations and examinations to join our Consulting Practice as a Senior/Vice President! As a Senior/Vice President at Kroll you will provide support and guidance to a wide variety of firms in managing their NFA and SEC 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.
Day to Day Responsibilities:
• We are seeking an individual interested in working within a cooperative environment who has a strong grasp of the NFA and SEC compliance rules and member requirements. You must be capable of managing multiple clients and providing sound practical guidance, staying up to date on regulatory developments and best practices, and contributing to team learning and culture.
• You will report to a Director of our Consulting Practice and provide day to day support to both clients and internal constituents
• Day to day responsibilities of a Senior/Vice President include but are not limited to:
• Client-Facing Responsibilities
o Guiding new members through the NFA and SEC registration process.
o Developing and implementing customized compliance policies and procedures across a diverse range of investment advisers, CTAs, and CPOs
o Assisting with completing the NFA and SEC annual reviews.
o Reviewing marketing materials for compliance with the NFA and SEC rules.
o Managing regulatory filings including NFA and SEC registrations, exemptions, Form PF, Form PQRs, CFTC position reporting, Section 13 filings etcc.
o Providing advisory consulting surrounding NFA and SEC requirements
o Developing and presenting compliance trainings to clients and Kroll staff
• Internal Responsibilities:
o Monitoring the regulatory environment and preparing clients for coming changes
o Maintaining template documentation relevant to servicing our clients
o Engaging in business development and brand awareness activities, e.g. writing articles, speaking at events, participating in prospective client meetings, generating relationships with industry participants
o Supporting senior staff in client management obligations
o Providing opportunities for development and advancement to junior staff
Essential Traits:
- Bachelor's degree required, legal degree or MBA a plus
- At least 5 years of experience in an in-house compliance role focusing on NFA regulations is required, with equal experience in SEC compliance and regulations is considered a strong asset
- Compliance experience with FINRA 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
- Preference will be given to candidates in locations with current US CC offices
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 New York/ California salary range for this position is $90,000 - $ 200,000 USD.
#LI-SS1
