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Analyst, Compliance Consulting

Mumbai, India

Success Profile

What makes a successful Compliance and Regulatory Consulting employee at Kroll? Check out the traits we’re looking for and see if you have the right mix.

  • Analytical
  • Detail-oriented
  • Insightful
  • Problem-solver
  • Relationship expertise
  • Deadline oriented

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Career Path

Kroll offers many career paths to support your immediate and future success.

  • Analyst leads to Senior Associate
  • Senior Associate leads to Vice President
  • Vice President leads to Director
  • Director leads to Managing Director
  • Managing Director ends this path

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Employee Testimonials

Simon Appleton
I enjoy working here for many reasons, including the variety of interesting projects we undertake, good communication channels to and from senior management, feeling empowered to help shape the direction of the team strategically and feeling supported by team members who instinctively help each other.

Simon Appleton

Director, Regulatory Consulting, London
Tammy Li
Working at Kroll has the best of everything. You get to work on a diverse portfolio of clients from top tier investment banks to small boutique hedge funds. While Kroll continues to thrive and grow as a global firm, we still manage to retain a strong sense of family and closeness, and the people at Duff & Phelps are truly and genuinely great people to work with.

Tammy Li

Director, Regulatory Consulting, London

Benefits

  • Professional Development

    Ongoing training and development opportunities at all levels of the firm through programs such as Kroll University, The Promote Program and Network of Women.

  • Global Presence

    As a global firm, our benefits vary by country.

  • Amenities

    Our offices around the globe offer easy access to public transportation, dining, shopping, gyms and many other convenient options.

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Description

Job ID 21003488 Mumbai, India Apply now

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.

We are looking for an Analyst to be an essential part of the team assisting the Compliance & Regulatory 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, and enjoys multitasking.

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 US Compliance & Regulatory Consulting practice to manage and perform various ongoing SEC compliance support services on behalf of its clients (primarily hedge funds and private equity funds)
  • Assist in managing and monitoring various personal trading platforms on behalf of CRC clients
  • Review and provide compliance comments to marketing materials, including investor letters, DDQs and presentations
  • Proactively monitor and report on potential electronic communication compliance violations
  • Work closely with external vendors to troubleshoot and escalate critical systems issues
  • Actively monitor and report on potential electronic communication compliance violations
  • Prepare employee training slides based on policies and procedures as well as SEC / FINRA / NFA recent developments
  • Stay abreast of SEC guidance regarding regulatory changes and guidance regarding electronic communications and surveillance systems
  • Draft updates to client Form ADV registration materials
  • Prepare Compliance Manuals and Code of Ethics for clients that are designed to satisfy SEC rules and regulations
  • Experience advising hedge funds and private equity funds is a plus.

Requirements:

  • Bachelor's or master’s degree in Commerce, Accounting, Business Administration or Management (with a concentration in Accounting, Economics or Finance) from an accredited university or college.
  • Proven 2-5 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
  • 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
  • Legal or audit background would be useful

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

Apply now

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