Vice President, Regulatory Consulting

3 weeks ago

Philadelphia, United States Kroll Full time

We are looking for a Vice President to support our Regulatory Consulting team. As a Vice President you will take risks and solve problems. You will display leadership and influence others in our Regulatory Consulting business. Our Regulatory Consulting team provides expert compliance support for a variety of financial services firms and SEC or FINRA registrants.

Day to Day Responsibilities:

- Conduct mock regulatory exams to identify compliance program gaps, including analyzing financial and legal documents, creating interview outlines, and drafting feedback or reports;
- Provide support to clients undergoing SEC and other regulatory examinations;
- Proactively research and provide practical, business friendly, compliant solutions for esoteric regulatory issues;
- Develop and implement compliance programs for a variety of registered investment advisers and other SEC or FINRA registrants;
- Continuously monitor relevant regulatory changes, create thought leadership, and assist clients in adapting to a changing regulatory landscape;
- Conduct annual compliance reviews;
- Perform regulatory due diligence in connection with mergers and acquisitions;
- Research and draft expert reports and related filings and prepare for depositions and trial testimony

Essential Traits:

- You have an undergraduate degree
- You have a minimum of 7 years of compliance or other relevant financial industry related experience; a relevant graduate degree in law, business, accounting, or similar is a plus;
- You have familiarity with the requirements of the Investment Advisers Act of 1940 and/or the Investment Company Act of 1940;
- You have an understanding of, and experience with, the businesses of hedge funds, private equity and private credit firms, wealth managers, or broker dealers, SEC and other regulatory examinations, SEC and other regulatory requirements, and/or associated compliance or governance and risk management program development and maintenance;
- You are driven, displays leadership skills, influences others and serve as a collaborative problem solver;
- You have strong research skills;
- You have the ability to multi-task across a range of projects with constantly shifting priorities;
- You are risk tolerant and comfortable in a rapidly changing environment;
- You have excellent written and verbal communication skills, including that help engage with diverse communities;
- You have experience working with diverse and collaborative teams

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.

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.
- 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._
- #LI-SS1_

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