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 workplace.
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)
- Assist in managing and monitoring various personal trading platforms on behalf of FSCR-CC clients.
- Proactively monitor and report on potential electronic communication compliance violations on various archival platforms
- Work closely with external vendors to troubleshoot and escalate critical systems issues.
- Actively monitor and report on potential electronic communication compliance violations
- Stay abreast of SEC guidance regarding regulatory changes and guidance regarding electronic communications 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.
- 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.