In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you’ll contribute to a supportive and collaborative work environment that empowers you to excel. We are looking for an Analyst to be an essential part of the team assisting the Financial Services Compliance & Regulation - Compliance Consulting practice to manage and perform client electronic surveillance monitoring.

We are looking for bright, innovative individuals to be part of a growing team, individuals that have initiative and who will relish taking on responsibility. This role would suit someone proactive, who thrives in a fast-paced environment, and enjoys multitasking. This role combines exposure to technical expertise with process automation and data analytics to enhance client compliance and operational efficiency.

At Kroll, your work will help deliver clarity to our clients’ most complex governance, risk, and transparency challenges. Apply now to join One team, One Kroll.

Key Responsibilities:

Coordinate with the Financial Services Compliance & Regulation - US Compliance Consulting Practice: Manage and perform ongoing SEC compliance support services for clients, primarily hedge funds and private equity funds. Act as the primary point of contact for clients during the implementation of Reg Tech solutions and provide ongoing support. Regulatory Compliance Manuals and Policies: Draft, review, and update client regulatory compliance manuals and internal firm compliance policies, ensuring adherence to SEC regulations. Review and provide compliance comments on client marketing materials, including investor letters, DDQs, and presentations, to ensure compliance with the Investment Advisers Act. Personal Trading and Electronic Communications Monitoring: Assist in managing and monitoring personal trading platforms on behalf of FSCR-CC clients. Proactively monitor and report on potential electronic communications compliance violations using various archival platforms. Client Support and Training: Understand client compliance requirements and work on their needs, including creating custom certifications (forms and questionnaires). Conduct virtual training sessions to educate clients on software features and best practices. Provide ongoing support and advice to clients, including updating platform content such as regulatory frameworks, certifications, and forms. Collaborate with the product development team to communicate client feedback and contribute to software enhancements. Work with the product integration team to develop and implement new commercialized products and solutions for existing clients. Identify opportunities for process improvement and automation within compliance and regulatory functions.

Internal Capabilities - Process Automations:

Design, develop, and implement automation workflows using Microsoft Power Automate or similar tools. Monitor and measure the effectiveness of automated processes, making necessary adjustments for optimal performance. Document all automation processes and maintain a repository of workflows and scripts to ensure transparency and efficiency. Objectives include cost reduction through automation and increased efficiency through optimized workflows, with specific examples like OCR implementation for reviewing paper statements.

Internal Capabilities - Data Analytics:

Create interactive dashboards and reports using Power BI or similar data visualization tools to provide actionable insights for compliance and regulatory needs. Ensure accuracy and reliability of data presented in reports, implementing best practices for data visualization. Objectives include developing Power BI dashboards for business development and analyzing the client base to enhance strategic decision-making.

Additional Responsibilities:

Stay abreast of SEC guidance regarding regulatory changes and electronic communications and surveillance systems. Draft updates to client Form ADV registration materials to ensure compliance with the latest regulatory requirements. Prepare employee training slides based on policies and procedures, as well as recent developments from SEC, FINRA, and NFA. Vendor Coordination and Troubleshooting: Work closely with external vendors to troubleshoot and escalate critical systems issues, ensuring timely resolution and minimal disruption to compliance operations.

Requirements:

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. Candidates with a related degree will also be considered. Preferable IT legal and/or financial industry background would be useful Preferable experience with US investment adviser laws and regulations Proven 2-5 years of work experience in a compliance role. Ability to work on own initiative and as part of a team Client facing, solutions focused skills Clear, logical thought processes, ability to make decisions and articulate these clearly Strong English oral and written communication skills Time management skills and ability to work within deadlines Solution-driven and problem-solving attitude

About Kroll

In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business.

We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you’ll contribute to a supportive and collaborative work environment that empowers you to excel.

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

In order to be considered for a position, you must formally apply via careers.kroll.com.

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