Analyst, Compliance Consulting
Kroll is a global leader in risk and financial advisory solutions, seeking an Analyst to support their Compliance Consulting team. The Analyst will develop, implement, and maintain compliance programs for investment managers while ensuring adherence to legal and regulatory requirements.
Responsibilities
- Provide support in the development, implementation and maintenance of compliance programs for a variety of registered and unregistered investment advisers, including but not limited to:
- 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
Skills
- 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
- 1 year or more of corporate experience
- Knowledge of and familiarity with financial industry operations
- Knowledge of federal securities laws
- Relevant industry certifications (IACCP, CAMS, CAIA, FINRA Series licenses etc.)
Benefits
- Healthcare Coverage: Comprehensive medical, dental, and vision plans.
- Time Off and Leave Policies: Generous paid time off (PTO), paid company holidays, generous parental and family leave.
- Protective Insurances: Life insurance, short- and long-term disability coverage, and accident protection.
- Compensation and Rewards: Competitive salary structures, performance-based incentives, and merit-based compensation reviews.
- Retirement Plans: 401(k) plans with company matching.
Company Overview
Company H1B Sponsorship