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, 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 team to support services on behalf of broker-dealer clients, including full-service BDs, Capital Acquisition Brokers (CABs) and M&A; 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, trad

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