Job Information
Kroll, LLC Director, Compliance Consulting in New York, New York
Do you have experience working with the National Futures Association ("NFA") or supporting NFA registrants? Then we would love to speak with you!
We are looking for talented individuals with solid knowledge of NFA regulations and examinations to join our NFA Consulting Practice as a Director! As a Director at Kroll you will provide support and guidance to a wide variety of asset management firms in managing their NFA compliance programs. You will work alongside accomplished senior staff, enhancing your own regulatory expertise, while mentoring junior team members and delivering excellent service. You will be part of an award-winning and respected team supporting a global network of clients and colleagues.
Day to Day Responsibilities:
- We are seeking an individual interested in working within a cooperative environment who has a strong grasp of the NFA compliance rules and member requirements. You must be capable of managing multiple clients and providing sound practical guidance, staying up to date on regulatory developments and best practices, and contributing to team learning and culture.
- Responsibilities of Director include, but are not limited to:
- 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
- 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
- Either:
- 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
- This role requires a deep understanding of NFA and CFTC rules and regulations.
- 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
- Preference will be given to candidates in locations with current US CC offices
- Not required but a plus if you have pictures of your pets to share with our team.
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.
In order to be considered for a position, you 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.
The New York/ California salary range for this position is $125, 000 - $250, 000 USD.
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Equal Opportunity Employer - minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity
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