Description
Description
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, cutting-edge 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)
- 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:
- Bachelor’s or master’s de

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