Director, Compliance Consulting

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 practice assists clients in setting up firms, obtaining their initial regulatory authorization or registration, and providing them with ongoing compliance advice and support 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:

• Interacting with the Senior Management of firms and regulatory authorities
• Building and developing client relationships while also identifying and sourcing new opportunities with existing or new clients
• Act as a key point of contact for clients on engagement delivery on a daily basis while executing on client deliverables
• Overseeing the delivery of complex regulatory reviews and projects for our clients
• Team leadership including training, managing, mentoring and developing your own team (VP, Senior Associate and Analyst levels) within the wider regulatory team
• Thought leadership, including producing regulatory articles and client alerts, and involvement in the team’s business development strategy   
• Provide technical expertise on complex issues around FCA regulations, registration, ongoing compliance issues and reporting 
• Developing the Firm’s intellectual property including template compliance manuals, policies and client monitoring programmes
• Stay abreast of relevant regulatory developments and lead the development of the Firm’s response to new regulations
• Ensuring profitable client relationships through the active management of service delivery  
• Driving process improvement, automation and the deployment of new technology tools to streamline internal processes and client delivery

REQUIREMENTS:

• Minimum of 8 years of experience working in-house, at a regulatory authority or within the legal/consulting/professional services industry, focused on regulatory compliance.
• Bachelor’s degree is required. 
• Proven client relationship experience; giving advice on regulatory matters and demonstrable strong technical skills in regulatory compliance issues.
• Detailed knowledge the regulations applicable to asset managers, alternative investment fund managers, and investment firms is required.
• Demonstrable experience in building and managing project teams to address complex issues and deliver practical, commercial solutions.
• Excellent oral and written communication skills with the ability to provide clear and concise analysis and recommendations.
• Ability to lead and manage day-to-day aspects of engagement activities and an ability to work with clients.
• A sound knowledge of US (SEC and CFTC) requirements would be an advantage but not essential.

In order to be considered for a position, you must formally apply via careers.kroll.com.