Senior Associate, Compliance Consulting

We are looking for a Senior Associate to support our Compliance Consulting team. As a Senior Associate, you will be a part of an exceptional team at Kroll, the top GRC consulting firm globally, that comes together to tackle some of the most pressing and complex regulatory, compliance, and risk challenges of our time. We are committed to employee development, an inclusive culture, and long-term client relationships built on trust.

Day-to-Day Responsibilities

• Provide support in developing, implementing, and maintaining compliance programs for registered investment advisers.
• Develop and implement compliance policies and procedures, ensuring they are effectively communicated to clients in accordance with the Firm’s regulatory requirements.
• Conduct annual compliance reviews.
• Assist Directors on various client engagements.
• Prepare and deliver compliance training.
• Prepare and submit annual and quarterly regulatory filings.
• Prepare and maintain employee disclosure forms and assist clients in organizing and maintaining 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.
• Work with various RegTech systems.
  
  

Essential Traits

• Undergraduate degree.
• 3 years of business-related experience.
• Knowledge of the Investment Advisors Act of 1940.
• Relevant certifications (e.g., NFA Series 3, CFTC Compliance Professional, SIE, or other FINRA licenses); FINRA or NFA experience preferred.
• Thorough understanding of and experience with compliance program development and maintenance.
• Strong research skills and attention to detail.
• Ability to multi-task across a range of projects with constantly shifting priorities.
• Excellent written and verbal communication skills that help represent diverse communities.
• 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. Kroll is headquartered in New York with offices around the world. 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 salary range for this position is $70,000 to $150,000