We are looking for an Analyst to be an essential part of the team assisting the Financial Services Compliance Regulation - Compliance Consulting practice to support FINRA broker-dealer 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 workplace.

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 team to support services on behalf of broker-dealer clients, including full-service BDs, Capital Acquisition Brokers (CABs) and MA brokers.
- Assist in drafting, reviewing, and updating Written Supervisory Procedures (WSPs), AML programs, Business Continuity Plans (BCPs), Reg BI/Form CRS policies, and related compliance manuals to align with current FINRA and SEC requirements.
- Support FINRA New Member Applications (NMA) and Continuing Membership Applications (CMA).
- Assist with FINRA Rule 3110 branch office, OSJ, and non-branch location inspections, including preparing document request lists, performing testing, and drafting inspection reports.
- Support annual compliance reviews and risk assessments, including FINRA Rule 3120 supervisory control testing and FINRA Rule 3310 AML independent testing.
- Perform AML/KYC and customer due diligence reviews, including OFAC/sanctions screening, beneficial ownership analysis, red flag resolution, and support for SAR-related escalations.




- Support broker-dealer registration and licensing activities, including Form BD, Form BR, Form U4/U5 filings, fingerprinting, and ongoing CRD/IARD maintenance, as well as exam scheduling and waiver requests.
- Monitor and report on electronic communications surveillance, trade reviews, and other supervisory activities conducted on client archival and surveillance platforms.
- Track and analyze FINRA, SEC, and other SRO rule changes, Regulatory Notices, and enforcement actions, and assist in translating these updates into actionable client guidance and policy updates.
- Support preparation of client-ready deliverables, including gap analyses, compliance trackers, exam readiness materials, and executive summaries, ensuring adherence to Kroll formatting and quality standards.
- Prior experience supporting FINRA-registered broker-dealers, introducing/clearing firms, or private placement agents 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 to 3 years of work experience in a compliance role focused on FINRA broker-dealers.
- 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.

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