Analyst, Compliance Consulting

We’re looking for an Analyst to support our Compliance Consulting team. An Analyst Compliance Consultant will be part of a team that is responsible for developing, implementing, and maintaining compliance programs to ensure that organizations adhere to legal and regulatory requirements. The Analyst will conduct testing, provide training, offer guidance on compliance matters and identify and mitigate potential risks. You will collaborate with your compliance team on a number of client engagements.

Day to Day Responsibilities:

• 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 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 agendas and attend client calls;
• Prepare and deliver compliance training;
• Prepare and submit annual and quarterly regulatory filings;
• 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 supporting FINRA and NFA/CFTC clients;
• Prepare and assist in delivering compliance training;
• Proactively provide practical guidance on regulatory questions from clients

Essential Traits:

• You have an undergraduate degree
• 1 years or more of relevant business experience is preferred
• You have experience with swaps, futures, or other derivatives
• You have excellent verbal and written communication and analytical skills
• You have knowledge of SEC Advisers Act and or FINRA Rules
• Relevant certifications preferred (e.g., NFA Series 3, CFTC Compliance Professional, FINRA licenses)
• You have strong research skills
• You have the ability to multi-task across a range of projects with constantly shifting priorities
• You have excellent written and verbal communication skills that help represent diverse communities
• You have experience working with diverse teams

About Kroll

Join the global leader in risk and financial advisory solutions—Kroll. With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. As a part of One Team, One Kroll, you’ll contribute to a collaborative and empowering environment, propelling your career to new heights. Ready to build, protect, restore, and maximize our clients’ value? Your journey begins with Kroll.

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.

The current New York salary range for this position is $60,000 – $90,000.

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