Analyst, Compliance Consulting

Compliance Consulting Analyst

Join Kroll's Global Compliance Consulting Team and gain hands-on experience in the dynamic field of Compliance. We are seeking motivated and detail-oriented individuals to contribute as new joiners in our Compliance Consulting Group.

Kroll’s Compliance Consulting Group provides expert compliance support primarily to hedge funds, private equity firms, wealth managers and broker dealers in satisfying regulatory requirements by the SEC, FINRA, CFTC as well as international regulators. Kroll professionals possess an understanding of regulatory requirements, analytical skills and operations to support our client’s compliance needs and provide tailored solutions in order to navigate the rapidly changing regulatory landscape. As a member of our team, you’ll discover a supportive and collaborative work environment that empowers you to excel.

RESPONSIBILITIES:

Analysts will work with leaders to provide day-to-day or ad hoc support in the development, implementation and maintenance of compliance programs for a variety of registered investment advisers, including but not limited to:

• Development and implementation of compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client’s supervised and access person, in accordance with the Firm's regulatory requirements
• Conduct annual compliance reviews
• Prepare and present compliance training
• Prepare and submit annual and quarterly regulatory filings
• Monitor employee personal trading and electronic communications
• Prepare and maintain employee disclosure forms and assist with the management of compliance platforms
• Organization and maintenance required books and records
• Monitor relevant regulatory changes on an ongoing basis and assist clients in developing internal controls, accordingly
• Register clients as investment advisers with appropriate regulatory bodies
• Assist in conducting mock regulatory exams
• Assist in providing SEC exam support
• Provide secondment support to clients and assist with any other ad-hoc client requests
• We are open to candidates located in New York City, Boston, Chicago, Los Angeles and for the right candidate we would be open to the discussion of a Remote employee.

REQUIREMENTS:

• Recently completed a Bachelor's or Master’s degree in International Relations/Affairs, Journalism, Global Affairs, Regional Studies, Political Science, Law or other related areas of study, Accounting, Finance, Economics, Statistics, Business Administration or Management (with a concentration in Accounting, Finance or Economics), a degree focused on complex problem solutions from an accredited university or college.
• Graduation date between Dec 2024 and September 2026
• Major GPA of 3.0
• Excellent written and verbal communication skills
• Strong, independent self-starter, as well as collaborative problem solver with excellent relationship-building qualities for working in a team
• Strong research skills
• Detail-oriented with ability to organize, multitask, and a capacity for clear and logical reasoning
• Independent, disciplined and possess the skills to work across a range of projects with constantly shifting priorities
• Excellent time management, organization, and ability to work under pressure
• Proficient in Microsoft Office package: MS PowerPoint, Word, Excel

Preferred Qualifications:

• 1 year or more of corporate or regulatory experience 

• Knowledge of and familiarity with financial industry operations

• Knowledge of federal securities laws, law degree a plus

• Relevant industry certifications (CAMS, FINRA, NFA Series licenses etc.) 

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.

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