Analyst, Compliance Consulting

About the Role

Kroll is seeking an Analyst to join the Financial Services Compliance & Regulation - Compliance Consulting practice. This role involves managing and performing client electronic surveillance monitoring, assisting clients with their most complex governance, risk, and transparency challenges.

Key Responsibilities

• Coordinate with the Financial Services Compliance & Regulation - US Compliance Consulting practice to manage and perform ongoing SEC compliance support services for clients, primarily hedge funds and private equity funds.
• Manage and monitor various personal trading platforms on behalf of FSCR-CC clients.
• Proactively monitor and report on potential electronic communication compliance violations on various archival platforms.
• Troubleshoot and escalate critical systems issues with external vendors.
• Stay abreast of SEC guidance regarding regulatory changes and guidance for electronic communications and surveillance systems.

Requirements & Tech Stack

• Bachelor’s or master’s degree in Commerce, Accounting, Law, Business Administration, or Management (with a concentration in Accounting, Law, Economics, or Finance) from an accredited university or college.
• Ability to work on own initiative and as part of a team.
• Client facing, solutions focused skills.
• Passion to work extensively on data management.
• Clear, logical thought processes; ability to make and articulate decisions.
• Strong English oral and written communication skills.
• Time management skills and ability to work within deadlines.
• Solution-driven and problem-solving attitude.
• Experience in advising hedge funds and private equity funds is a plus.
• A legal or audit background would be useful.