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Senior Associate, 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

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 Kroll 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 21007696 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 a Senior Associate 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, 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 Financial Services Compliance & Regulation - US Compliance Consulting practice to manage and perform various ongoing SEC compliance support services on behalf of its clients (primarily hedge funds and private equity funds)
  • Draft, review and update client regulatory compliance manuals and other internal firm compliance policies
  • Review and comment on client marketing materials in adherence to US investment advisers laws and regulations (Investment Advisers Act of 1940)
  • Assist in managing and monitoring various personal trading platforms on behalf of FSCR-CC clients
  • Proactively monitor and report on potential electronic communication compliance violations on various archival platforms.
  • Review and provide compliance comments to marketing materials, including investor letters, DDQs and presentations
  • Work closely with external vendors to troubleshoot and escalate critical systems issues
  • Actively monitor and report on potential electronic communications 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
  • Experience 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.
  • Preferable legal and/or financial industry background would be useful
  • Preferable experience with US investment adviser laws and regulations
  • Proven 4-7 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

Once you have applied, you will receive a survey from Career Spark to complete – this step is mandatory if you wish to be considered.

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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