Analyst, Compliance Consulting

We’re looking for an Analyst to support our Compliance Consulting team. As an Analyst, you will be part of a team that is responsible for developing, implementing, and maintaining compliance programs for a variety of investment managers and ensuring that our client organizations adhere to their legal and regulatory requirements. As an Analyst, you will work with our client teams to conduct testing, provide training, offer guidance on compliance matters and identify and mitigate potential risks. Our Analysts collaborate across our U.S. compliance team and more broadly across Kroll’s teams to service our client engagements.

Day to Day Responsibilities:

Analysts are responsible for 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

  • Supporting the compliance requirements for SEC registered investment advisers, FINRA broker-dealers and NFA/CFTC registered firms.

Essential Traits:

• 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

Preferred Qualifications:

• 1 year or more of corporate or regulatory experience

• Knowledge of and familiarity with financial industry operations

• Knowledge of federal securities laws, law degree a plus

• Relevant industry certifications (CAMS, FINRA, NFA Series licenses etc.)

• 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.

Please note that benefits may vary by region, department and role. We encourage you to speak with your recruiter to learn more about the specific benefits available for your position.

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.

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

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 $60,000 to $85,000

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