NFA Compliance Director

11 hours ago

New York, New York, United States Kroll Full time
Director of NFA Compliance

We are seeking a highly skilled Director of NFA Compliance to join our team at Kroll. As a Director, you will provide expert guidance to asset management firms in managing their NFA compliance programs. Your responsibilities will include guiding new members through the NFA registration process, developing and implementing customized compliance policies and procedures, and reviewing marketing materials for compliance with NFA rules.

Key Responsibilities:
  • Guiding new members through the NFA registration process
  • Developing and implementing customized compliance policies and procedures
  • Reviewing marketing materials for compliance with NFA rules
  • Managing regulatory filings, including NFA registrations and exemptions
  • Providing advisory consulting on NFA requirements
  • Developing and presenting compliance trainings to clients and Kroll staff
Requirements:
  • Bachelor's degree required, legal degree or MBA a plus
  • 10 years or more serving in a compliance role in-house with a registered CTA or CPO, or 10 years or more serving as a regulatory compliance consultant on NFA and CFTC rules, or 10 years or more serving as a securities compliance examiner with the NFA
  • Deep understanding of NFA and CFTC rules and regulations
  • Excellent verbal and written communication skills
  • Strong time management, multi-tasking, and prioritization skills

Kroll is committed to creating an inclusive work environment and is an equal opportunity employer. We consider all qualified applicants regardless of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status, age, or disability.

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