Analyst, Compliance Consulting

Kroll • New York, NY

8h • Hybrid

About The Position

We’re looking for an Analyst to support our Compliance Consulting team. As an Analyst, you will be part of a team that is responsible for developing, implementing, and maintaining compliance programs for a variety of investment managers and ensuring that our client organizations adhere to their legal and regulatory requirements. As an Analyst, you will work with our client teams to conduct testing, provide training, offer guidance on compliance matters and identify and mitigate potential risks. Our Analysts collaborate across our U.S. compliance team and more broadly across Kroll’s teams to service our client engagements.

Requirements

• Undergraduate degree
• Excellent verbal and written communication and analytical skills
• Strong research and critical thinking abilities
• A desire to work with a diverse team with global reach
• Strong multi-tasking capabilities and the ability to prioritize across a range of projects

Nice To Haves

• 1 year or more of corporate or regulatory experience
• Knowledge of and familiarity with financial industry operations
• Knowledge of federal securities laws, law degree a plus
• Relevant industry certifications (CAMS, FINRA, NFA Series licenses etc.)

Responsibilities

• Provide support in the development, implementation and maintenance of compliance programs for a variety of registered and unregistered investment advisers.
• Drafting and customizing policies and procedures in accordance with the Firm’s regulatory requirements.
• Conducting ongoing testing and preparing annual compliance program review reports.
• Preparing agendas, attending client calls, and drafting follow up action memos.
• Drafting registration statements, regulatory filings, compliance training presentations, disclosure documents and providing practical guidance on compliance with the 1940 Investment Advisers Act and the 1940 Investment Company Act, among other federal securities laws.
• Supporting the compliance requirements for SEC registered investment advisers, FINRA broker-dealers and NFA/CFTC registered firms.

Benefits

• Comprehensive medical, dental, and vision plans.
• Generous paid time off (PTO), paid company holidays, generous parental and family leave.
• Life insurance, short- and long-term disability coverage, and accident protection.
• Competitive salary structures, performance-based incentives, and merit-based compensation reviews.
• 401(k) plans with company matching.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level