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Senior Associate, Compliance Consulting

Company: Kroll
Location: New York
Posted on: August 7, 2022

Job Description:

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. - Krolls' Compliance Consulting provides expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker dealers. 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. - RESPONSIBILITIES: Our Senior Associates provide ongoing compliance support and advice to our private fund and wealth advisory clients

  • Provide day-to-day support in the development, implementation and maintenance of compliance programs for a variety of registered investment advisers, including but not limited to:
  • Development and implementation of SEC compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm's regulatory requirements
  • Conduct annual compliance reviews
  • Prepare and deliver compliance training
  • Prepare and submit annual and quarterly regulatory filings
  • Monitor employee personal trading and electronic communications
  • Prepare and maintain employee disclosure forms and assist client in organization and maintenance 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
  • Assist in conducting mock regulatory exams
  • Assist in providing SEC exam support
  • Proactively provide practical, business friendly solutions for complicated regulatory issues REQUIREMENTS:
    • Undergraduate degree required
    • 5 years business related experience; with the Investment Advisers Act of 1940
    • Thorough understanding of, and experience with, compliance program development and maintenance
    • Strong, independent self -starter, as well as collaborative problem solver
    • Strong research skills
    • Ability to multi-task across a range of projects with constantly shifting priorities
    • Excellent written and verbal communication skills
    • Experience working with diverse teams In order to be considered for a position, you must formally apply via 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. All employees must comply with Kroll's mandatory vaccination policy, subject to all applicable federal, state, and local laws. #efin #LI-SS1

Keywords: Kroll, New York , Senior Associate, Compliance Consulting, Professions , New York, New York

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