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. As an Analyst you will embody drive, embrace change and take risks. You will be innovative and solve problems 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 portfolio of SFC, SEC 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
• Establishing and maintaining the compliance infrastructure for clients
• Undertaking periodic compliance monitoring reviews at client premises
• Drafting and/or reviewing regulatory reports and returns
• Writing compliance monitoring reports
• Providing ad hoc regulatory advice and creative solutions
• Updating clients on regulatory change
  
  

Essential Traits

• Minimum of 3+ years of experience with an exposure to compliance and alternative asset management industry
• Detailed understanding of SFC, SEC rules and regulations
• Solution-driven and problem-solving attitude
• Legal or audit background would be useful
• Understanding of the financial services industry i.e. asset management and broking sectors
• Broad understanding of the alternative asset management industry
• Time management and ability to work under pressure
  
  

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.

Kroll is committed to equal opportunity and diversity, and recruits people based on merit.

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