Senior Associate - Compliance Consulting

Senior Associate – Compliance Consulting 

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 support the delivery of regulatory compliance and consulting services to a range of financial services clients.

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:

• Work closely with the Financial Services Compliance & Regulation – US Compliance Consulting practice to deliver ongoing compliance support and consulting services to clients, primarily private equity firms, hedge funds, registered investment advisers, and other financial services firms.

• Support SEC mock examinations, SEC Rule 206(4)-7 annual compliance reviews, and compliance gap assessments, including preparing information request lists, reviewing and analyzing client documentation, participating in client meetings, and assisting with drafting reports and recommendations.

• Assist with the development, review, and implementation of compliance programs, policies, procedures, and testing in accordance with applicable SEC and FINRA requirements.

• Review marketing and communications materials for compliance with applicable SEC and FINRA requirements and assist clients with related compliance considerations.

• Support the administration and monitoring of personal trading, Code of Ethics, and electronic communications surveillance programs, including reviewing potential exceptions and escalating identified issues.

• Assist with regulatory filings and other compliance obligations, including but not limited to Forms ADV, PF, and BD and Forms U4 and U5, as applicable.

• Conduct regulatory research and compliance testing across relevant areas and stay abreast of SEC and FINRA regulatory developments, guidance, examination priorities, and enforcement trends.

• Coordinate with clients, internal teams, and third-party service providers to manage assigned workstreams, track deliverables, address issues, and support timely completion of engagements.

• Support and guide junior team members, including reviewing work product as appropriate and contributing to consistent, high-quality client deliverables.

  
  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 5-7 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.

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