Details of the Organization

As the leading independent provider of risk and financial advisory solutions, Kroll leverages their unique insights, data, and technology to help clients stay ahead of complex demands. Kroll's team of more than 6,500 professionals worldwide continues the firm’s nearly 100-year history of trusted expertise spanning risk, governance, transactions, and valuation.

Details of the Job/Internship

Kroll is hiring for the position of Analyst with experience of 2-5 years to join their Mumbai office.

Role and 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.

Eligibility

• 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.

Salary/Stipend

Compensation details will be finalized during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

State

Maharashtra

City

Mumbai

Address

Mumbai, Maharashtra.

Application and Registration Details

After you apply, you will receive the next steps of the application process via email. 

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