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.
Kroll's Compliance Consulting practice assists clients in setting up firms, obtaining their initial authorization or registration, and providing them with ongoing compliance advice to navigate the rapidly changing regulatory landscape.
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:
- Oversee day-to-day support in the development, implementation and maintenance of compliance programs for a variety of registered investment advisers;
- Oversee the registration process for investment advisers with the SEC;
- Conduct annual compliance reviews;
- Conduct regulatory mock exams;
- Conduct compliance trainings;
- Assist in providing SEC exam support;
- Assist with preparing and reviewing regulatory filings including Form ADVs and Form PFs;
- Monitor relevant regulatory changes and assist clients in developing internal controls, accordingly;
- Develop client relationships and oversee junior staff;
- Proactively provide practical, business friendly solutions for esoteric regulatory issues.
REQUIREMENTS:
- Undergraduate degree required;
- 5+ years business related experience;
- Thorough knowledge of the Investment Advisers Act of 1940;
- Excellent written and verbal communication skills;
- Thorough understanding of, and experience with, compliance program development and maintenance; and
- Strong, independent self –starter, as well as collaborative problem solver.
In order to be considered for a position at Kroll, 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.
All employees must comply with Kroll’s mandatory vaccination policy, subject to all applicable federal, state, and local laws.
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