Vice President, Compliance Expert

3 weeks ago

New York, New York, United States Kroll Full time

We are seeking a seasoned professional to join our NFA Consulting Practice as a Vice President. As a Vice President at Kroll, you will provide support and guidance to a wide variety of firms in managing their NFA compliance programs.

You will work alongside accomplished senior staff, enhancing your regulatory expertise, while mentoring junior team members and delivering excellent service.

Day to Day Responsibilities:

  • Guiding new members through the NFA registration process.
  • Developing and implementing customized compliance policies and procedures across a diverse range of CTAs and CPOs.
  • Assisting with completing the NFA annual self-questionnaire.
  • Reviewing marketing materials for compliance with the NFA rules.
  • Managing regulatory filings including NFA registrations, exemptions, Form PQRs, CFTC position reporting.
  • Providing advisory consulting surrounding NFA requirements.
  • Developing and presenting compliance trainings to clients and Kroll staff.

Internal Responsibilities:

  • Monitoring the regulatory environment and preparing clients for coming changes.
  • Maintaining template documentation relevant to servicing our clients.
  • 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.
  • Supporting senior staff in client management obligations.
  • Providing opportunities for development and advancement to junior staff.

Essential Traits:

  • Bachelor's degree required, legal degree or MBA a plus.
  • 5 years or more serving in a compliance role in-house with a registered CTA or CPO; or 4 years or more serving as a regulatory compliance consultant on NFA and CFTC rules; or 3 years or more serving as a securities compliance examiner with the NFA.
  • Compliance experience with SEC and/or 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.

About Kroll:

Kroll is a global leader in risk and financial advisory solutions. 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.

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.

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