Analyst, Compliance Consulting
In order to be considered for a position, you must formally apply via careers.kroll.com
In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you’ll contribute to a supportive and collaborative work environment that empowers you to excel.
Kroll’s Financial Services Compliance and Regulation Consulting team 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.
At Kroll, your work will help deliver clarity to our clients’ most complex governance, risk, and transparency challenges. Apply now to join One team, One Kroll.
RESPONSIBILITIES:
Analysts will take risks, solve problems, show their leadership skills will work with team 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
- Assist with and 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
- Assist client in 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 the 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
REQUIREMENTS:
- Currently pursuing or recently completed a Bachelor's or Master’s degree in 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 December 2022 and September 2023
- 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
- Driven, displays leadership skills, influences others, is a creative problem solver
- 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
- Proficient in Microsoft Office package: MS PowerPoint, Word, Excel
Ready to get started? In order to be considered for a position at Kroll, you must formally apply via careers.kroll.com. Once you have applied, you will receive a survey from Career Spark to complete – this step is mandatory if you wish to be considered
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 current salary range for this position is USD 60,000 to USD 90,000 Per Annum