New York, New York, United States · On-site
Director - US FSCR - Compliance Consulting At Kroll, you will lead the delivery of expert compliance guidance to a diverse range of financial firms, including registered investment advisers, broker-dealers, and registere…
Skills: Compliance Consulting, Investment Advisers Act of 1940, FINRA Regulations, Investment Company Act of 1940, Business Development
New York, New York, United States · On-site
BTY is an award-winning professional consulting firm that provides comprehensive solutions for real estate and infrastructure planning, development, operations, and transactions. With a project portfolio valued at over $…
Skills: Construction Project Management, Civil Engineering, Quantity Surveying, Technical Advisory, Commercial Contract Review
New York, New York, United States · Hybrid
$200k–$240k/yr
Team: Growth Reports to: Nick Coetzee, VP (Growth, Operations) Location: New York City preferred (hybrid: Tuesday–Thursday in office). Exceptional remote candidates will be considered. Compensation: $175K–$200K base sala…
Skills: Growth Product Management, SEO, AEO, Conversion Rate Optimization, Demand Generation
Oceanside, New York, United States · On-site
$25/hr–$32/hr
At Chase, we are passionate about creating memorable experiences for our clients and employees, making them feel welcomed, valued, and understood. We build lasting relationships by doing the right thing, exceeding expect…
Skills: Sales, Retail banking, Financial services, Client relationship management, Communication
New York, New York, United States · On-site
$28/hr–$39/hr
At J.P. Morgan Chase, we have an enthusiasm for helping our clients, taking care of our employees, building relationships, and delivering extraordinary customer service while maintaining a strong commitment to diversity …
Skills: Client service, Account opening, Money movement, Investment trades, Risk management
New York, New York, United States · Remote OK
Intuition Robotics is on a mission to empower older adults to live happier, healthier, and more independent lives at home. The company’s award-winning product, ElliQ®, is an AI proactive care companion. ElliQ, which was …
Skills: Contract Negotiation, Healthcare Compliance, Medicare Advantage, Medicaid, Contract Lifecycle Management
New York, New York, United States · Hybrid
$150k–$190k/yr
Defining how AI and finance work together — securely, intelligently, and at scale. We at Unique AI are building a highly secure generative AI platform, tailored for the financial sector. Utilizing AI, LLM, agentic and Sk…
Skills: TypeScript, React, Next.js, NestJS, GraphQL
New York, New York, United States · Hybrid
$123k–$215k/yr
Global Real Estate and Workplace Experience (GREWE) is a global team at American Express (Amex) responsible for the full lifecycle of planning, execution, and operations of Amex real estate. GREWE supports over 75,000 Am…
Skills: Design Management, Hospitality Design, Workplace Design, Corporate Real Estate Project Delivery, Critical Thinking
New York, New York, United States · Hybrid
$123k–$215k/yr
Global Real Estate and Workplace Experience (GREWE) is a global team at American Express (Amex) responsible for the full lifecycle of planning, execution, and operations of Amex real estate. GREWE supports over 75,000 Am…
Skills: Architecture, Interior Design, Workplace Design, Design Management, Corporate Real Estate Project Delivery
Bohemia, New York, United States · Hybrid
POSITION SUMMARY: The Accounting Administrator is responsible for supporting the company’s day-to-day accounting and administrative functions, with primary responsibilities in billing, accounts payable, bookkeeping…
Skills: Microsoft Excel, Accounting Principles, QuickBooks, Attention To Detail, Verbal Communication
City of Canandaigua, New York, United States · On-site
$20/hr–$27/hr
You have a passion for taking care of our customers and employees and making them feel welcomed and valued by building lasting relationships, doing the right thing, exceeding expectations and having a strong commitment t…
Skills: Relationship management, Client acquisition, Financial advice, Banking, Revenue generation
New York, New York, United States · Hybrid
$130k–$170k/yr
Neuberger's Private Markets Technology group is seeking a Senior Data Engineer to design and scale the data infrastructure supporting our private equity and private debt strategies. This role sits at the intersection of …
Skills: Data Engineering, SQL, Python, Snowflake, Apache Airflow
New York, New York, United States · Hybrid
$150k–$180k/yr
Neuberger's Business Technology team is seeking a hands-on, technically fluent Aladdin Product Manager to own the strategy, configuration, and continuous improvement of BlackRock's Aladdin platform across our investment …
Skills: Product Management, BlackRock Aladdin, Order Management Systems, SQL, Snowflake
New York, New York, United States · Hybrid
$105k–$130k/yr
The Asset Management Guideline Oversight (AMGO) group is a critical part of Neuberger’s global Risk group. AMGO serves as an independent control group, ensuring that investment portfolios remain compliant with regulatory…
Skills: Investment Guideline Oversight, Private Markets, Private Equity, Private Credit, Quantitative Analysis
New York, New York, United States · On-site
$150k–$185k/yr
The Portfolio Manager and Trader will be joining Neuberger’s Fixed Income Separately Managed Account Team and will lead the taxable business. Neuberger manages over $2.4 billion in high quality-focused, taxable investmen…
Skills: Portfolio Management, Fixed Income Trading, SMA Management, Risk Monitoring, Trade Execution
New York, New York, United States · Hybrid
Summary Reporting to the National Sales Manager and serving as a member of the North American Intermediary sales team, the primary responsibility of the Advisor Consultant Associate (ACA) is to partner with the Advisor C…
Skills: Sales, Prospecting, Client Relationship Management, Financial Analysis, Communication Skills
New York, New York, United States · On-site
HR Coordinator Position Summary: Provides assistance, support, and information to employees for human resources topics, policies, and issues. Essential Duties and Responsibilities: Assist employees with navigation to ben…
Skills: Payroll Processing, ADP, Lyric HCM, Recruiting Management, Interpersonal Skills
New York, New York, United States · Remote OK
$115k–$150k/yr
Practice Lead, Wealth Management ------------------------------------------------------------------------------------------------------------------ Location: New York, Carolina, Chicago, Texas, Florida, US Type: Full-tim…
Skills: Wealth Management, Practice Development, Business Development, Solution Design, Stakeholder Management
New York, New York, United States · On-site
$130k–$250k/yr
What We Do At Goldman Sachs, our Engineers don’t just make things – we make things possible. Change the world by connecting people and capital with ideas. Solve the most challenging and pressing engineering problems for …
Skills: Python, C, C++, Java, Shell Scripting
Colonie, New York, United States · On-site
$21/hr–$25/hr
With a network of nearly 200 branches, Loomis armored transportation, cash management centers, and cash inventory vaults keep cash flowing throughout financial institutions and retail businesses across the US. Loomis pri…
Skills: Armored vehicle operation, Cash handling, ATM servicing, Smart safe servicing, Cargo loading
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Lead the delivery of expert compliance guidance to financial firms and serve as a trusted advisor to senior executives and boards. Drive strategic growth through business development, client relationship management, and the mentoring of engagement teams.
Requires 10-20+ years of compliance experience with deep knowledge of the Investment Advisers Act, FINRA rules, and the '40 Act. A bachelor's degree is required, with a JD or MBA and relevant industry certifications preferred.
At Kroll, you will lead the delivery of expert compliance guidance to a diverse range of financial firms, including registered investment advisers, broker-dealers, and registered investment companies. As a senior leader within the practice, you will own and grow key client relationships, serve as a trusted advisor to senior executives and boards, develop and mentor the broader team, and help drive the strategic growth of our award-winning global compliance consulting practice.
We are seeking an experienced, client-focused leader with deep knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940 (‘40 Act) a plus. The ideal candidate owns a portfolio of client relationships, provides strategic direction on complex compliance matters, leads and develops engagement teams, drives business development, and helps shape the growth, culture, and thought leadership of the practice. This includes but is not limited to:
Relevant industry certifications (CAMS, FINRA licenses etc.)
Additional but not required:
Familiarity with bank charter formation, including de novo charter (OCC, state) and FDIC deposit insurance applications
Join the global leader in risk and financial advisory solutions. With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. As 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.
Interested candidates 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.
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As the leading independent provider of risk and financial advisory solutions, Kroll leverages our unique insights, data and technology to help clients stay ahead of complex demands. Kroll's team of more than 6,500 professionals worldwide continues the firm’s nearly 100-year history of trusted expertise spanning risk, governance, transactions and valuation. Our advanced solutions and intelligence provide clients the foresight they need to create an enduring competitive advantage. At Kroll, our values define who we are and how we partner with clients and communities. Learn more at Kroll.com.
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