Job Summary

We are looking for an Analyst 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 clientsmost complex governance, risk, and transparency challenges.

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)
- Administer and monitor compliance platforms, including Comply, MCO, Compliance Alpha, Orion Basis Code, and StarCompliance, managing conflicts of interest disclosures, employee electronic account feed setup/maintenance, certifications, and ongoing compliance oversight on behalf of FSCR-CC clients.
- Conduct periodic personal trade reviews to identify and escalate potential compliance violations in accordance with client policies and regulatory requirements.




- Proactively monitor and report on potential electronic communication compliance violations on various archival platforms including Global Relay, SMARSH, Microsoft Purview, Barracuda, View Archive and Mimecast.
- Work closely with external vendors and internal stakeholders to troubleshoot and escalate critical systems issues.
- Stay abreast of SEC guidance regarding regulatory changes and guidance regarding electronic communications, personal trading and surveillance systems.
- Experience in advising hedge funds and private equity funds is a plus.

Requirements
- Bachelors or masters 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 3 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.
- Transparent, 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
- Keen interest in technology, systems functionality, and innovative process improvement solutions
- Legal or audit background would be useful.

📌 Analyst, Compliance Consulting (Mumbai)
🏢 Kroll
📍 Mumbai