We are looking for a Senior Associate 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.
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:
- Closely coordinate with the Financial Services Compliance & Regulation - US Compliance Consulting practice to manage and perform ongoing SEC compliance support services allocated to the individual on behalf of its clients (primarily hedge funds and private equity funds)
- Assist in managing and monitoring various personal trading platforms on behalf of FSCR-CC clients.
- Proactively monitor and report on potential electronic communication compliance violations on various archival platforms
- Work closely with external vendors to troubleshoot and escalate critical systems issues.
- Actively monitor and report on potential electronic communication compliance violations
- Stay abreast of SEC guidance regarding regulatory changes and guidance regarding electronic communications and surveillance systems.
- Experience in advising hedge funds and private equity funds is a plus.
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
- Proven six (6) months 6-7 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 and passionate to work extensively on data management.
- 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
- Legal or audit background would be useful.
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.
In order to be considered for a position, you must formally apply via careers.kroll.com
Kroll is committed to equal opportunity and diversity, and recruits people based on merit.
#LI-IK1
#LI-Hybrid
Skills Required
- Bachelor's or master's degree in commerce, Accounting, Law, Business Administration or Management
- 6-7 years of work experience in a compliance role
- Strong English oral and written communication skills
- Client facing and solutions focused skills
What We Do
Kroll is the world’s premier provider of services and digital products related to valuation, governance, risk and transparency. We work with clients across diverse sectors in the areas of valuation, expert services, investigations, cyber security, corporate finance, restructuring, legal and business solutions, data analytics and regulatory compliance. Our firm has nearly 5,000 professionals in 30 countries and territories around the world. For more information, visit www.kroll.com.
