Senior Associate, Compliance Consulting

We are looking for a Senior Associate to support our Compliance Consulting team. As a Senior Associate you will take risks and solve problems. You will display leadership and influence others in our Compliance Consulting business.

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
• 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
• Assist Directors on numerous client engagements
• 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
• Engage in compliance projects and initiatives
• Proactively provide practical guidance on client compliance questions

Essential Traits:

• You have an undergraduate degree
• You have 3 years or more of business related experience
• You have knowledge of the Investment Advisors Act of 1940
• Relevant certifications preferred (e.g., NFA Series 3, CFTC Compliance Professional, FINRA licenses); FINRA or NFA experience preferred
• Thorough understanding of, and experience with, compliance program development and maintenance
• You have strong research skills and attention to detail
• 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/California salary range for this position is $70,000 – $150,000.

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