Description
We are looking for an Analyst to be an essential part of the team assisting the Financial Services Compliance & Regulation - Compliance Consulting practice to manage and perform client electronic surveillance monitoring.
We are looking for bright, innovative individuals to be part of a growing team, individuals that have initiative and who will relish taking on responsibility. This role would suit someone proactive, who thrives in a fast-paced environment.
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:
- Closely coordinate with the Financial Services Compliance & Regulation - US Compliance Consulting practice - to manage and perform ongoing SEC compliance support services allocated to the individual on behalf of its clients (primarily hedge funds and private equity funds)
- Administer and monitor compliance platforms, including Comply, MCO, Compliance Alpha, Orion Basis Code, and StarCompliance, managing conflicts of interest disclosures, employee electronic account feed setup/maintenance, certifications, and ongoing compliance oversight on behalf of FSCR-CC clients.
Conduct periodic personal trade reviews to identify and escalate potential compliance violations in accordance with client policies and regulatory requirements.
Proactively monitor and report on potential electronic communication compliance violations on various archival platforms including Global Relay, SMARSH, Microsoft Purview, Barracuda, View Archive and Mimecast.
- Work closely with external vendors and internal stakeholders to troubleshoot and escalate critical systems issues.
- Stay abreast of SEC guidance regarding regulatory changes and guidance regarding electronic communications, personal trading and surveillance systems.
- Experience in advising hedge funds and private equity funds is a plus.
Requirements:
- Bachelor’s or master’s degree in commerce, Accounting, Law, Business Administration or Management (with a concentration in Accounting, Law, Economics or Finance) from an accredited university or college
- Proven six (6) months 3 years of work experience in a compliance role.
- Ability to work on own initiative and as part of a team.
- Client facing, solutions focused skills and passionate to work extensively on data management.
- Clear, logical thought processes, ability to make decisions and articulate these clearly.
- Strong English oral and written communication skills
- Time management skills and ability to work within deadlines.
- Solution-driven and problem-solving attitude
Keen interest in technology, systems functionality, and innovative process improvement solutions
- Legal or audit background would be useful.
About Kroll-
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.
In order to be considered for a position, you must formally apply via careers.kroll.com
Kroll is committed to equal opportunity and diversity, and recruits people based on merit.
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