Analyst, Compliance Consulting
About the position
We’re looking for an Analyst to support our Compliance Consulting team. As an
Analyst, you will be part of a team that is responsible for developing,
implementing, and maintaining compliance programs for a variety of investment
managers and ensuring that our client organizations adhere to their legal and
regulatory requirements. As an Analyst, you will work with our client teams to
conduct testing, provide training, offer guidance on compliance matters and
identify and mitigate potential risks. Our Analysts collaborate across our U.S.
compliance team and more broadly across Kroll’s teams to service our client
engagements.
Responsibilities
• Drafting and customizing policies and procedures in accordance with the
Firm’s regulatory requirements
• Conducting ongoing testing and preparing annual compliance program review
reports
• Preparing agendas, attending client calls, and drafting follow up action
memos
• Drafting registration statements, regulatory filings, compliance training
presentations, disclosure documents and providing practical guidance on
compliance with the 1940 Investment Advisers Act and the 1940 Investment
Company Act, among other federal securities laws
Requirements
• Undergraduate degree
• Excellent verbal and written communication and analytical skills
• Strong research and critical thinking abilities
• A desire to work with a diverse team with global reach
• Strong multi-tasking capabilities and the ability to prioritize across a
range of projects
• 1 year or more of corporate experience
• Knowledge of and familiarity with financial industry operations
• Knowledge of federal securities laws
Nice-to-haves
• Relevant industry certifications (IACCP, CAMS, CAIA, FINRA Series licenses
etc. )
Benefits
• Healthcare Coverage: Comprehensive medical, dental, and vision plans.
• Time Off and Leave Policies: Generous paid time off (PTO), paid company
holidays, generous parental and family leave.
• Protective Insurances: Life insurance, short- and long-term disability
coverage, and accident protection.
• Compensation and Rewards: Competitive salary structures, performance-based
incentives, and merit-based compensation reviews.
• Retirement Plans: 401(k) plans with company matching.
Apply tot his job
Apply To this Job
We’re looking for an Analyst to support our Compliance Consulting team. As an
Analyst, you will be part of a team that is responsible for developing,
implementing, and maintaining compliance programs for a variety of investment
managers and ensuring that our client organizations adhere to their legal and
regulatory requirements. As an Analyst, you will work with our client teams to
conduct testing, provide training, offer guidance on compliance matters and
identify and mitigate potential risks. Our Analysts collaborate across our U.S.
compliance team and more broadly across Kroll’s teams to service our client
engagements.
Responsibilities
• Drafting and customizing policies and procedures in accordance with the
Firm’s regulatory requirements
• Conducting ongoing testing and preparing annual compliance program review
reports
• Preparing agendas, attending client calls, and drafting follow up action
memos
• Drafting registration statements, regulatory filings, compliance training
presentations, disclosure documents and providing practical guidance on
compliance with the 1940 Investment Advisers Act and the 1940 Investment
Company Act, among other federal securities laws
Requirements
• Undergraduate degree
• Excellent verbal and written communication and analytical skills
• Strong research and critical thinking abilities
• A desire to work with a diverse team with global reach
• Strong multi-tasking capabilities and the ability to prioritize across a
range of projects
• 1 year or more of corporate experience
• Knowledge of and familiarity with financial industry operations
• Knowledge of federal securities laws
Nice-to-haves
• Relevant industry certifications (IACCP, CAMS, CAIA, FINRA Series licenses
etc. )
Benefits
• Healthcare Coverage: Comprehensive medical, dental, and vision plans.
• Time Off and Leave Policies: Generous paid time off (PTO), paid company
holidays, generous parental and family leave.
• Protective Insurances: Life insurance, short- and long-term disability
coverage, and accident protection.
• Compensation and Rewards: Competitive salary structures, performance-based
incentives, and merit-based compensation reviews.
• Retirement Plans: 401(k) plans with company matching.
Apply tot his job
Apply To this Job