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Senior Associate, Compliance Consulting

New York, New York; Chicago, Illinois; Philadelphia, Pennsylvania; Boston, Massachusetts; Washington D.C., District of Columbia

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 21004297 New York, New York; Chicago, Illinois; Philadelphia, Pennsylvania; Boston, Massachusetts; Washington D.C., District of Columbia 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. 

Krolls’ Compliance Consulting provides expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker dealers.

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:

Our Senior Associates provide ongoing compliance support and advice to our private fund and wealth advisory clients

  • Provide day-to-day 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 SEC compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm’s regulatory requirements
  • Conduct annual compliance reviews
  • Prepare and deliver 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 client in organization and maintenance required books and records
  • Continuously monitor relevant regulatory changes 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
  • Proactively provide practical, business friendly solutions for complicated regulatory issues

REQUIREMENTS:

  • Undergraduate degree required
  • 5 years business related experience; with the Investment Advisers Act of 1940
  • Thorough understanding of, and experience with, compliance program development and maintenance
  • Strong, independent self –starter, as well as collaborative problem solver
  • Strong research skills
  • Ability to multi-task across a range of projects with constantly shifting priorities
  • Excellent written and verbal communication skills
  • Experience working with diverse teams

In order to be considered for a position, you must formally apply via careers.kroll.com.

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.

Apply now

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