Kroll, LLC Senior Associate, Compliance Consulting New York , New York Apply Now We are looking for a Senior Associate to support our Compliance Consulting team. As a Senior Associate you will take risks and solve problems. You will display leadership and influence others in our Compliance Consulting business.Day to Day Responsibilities:Provide day-to-day support in the development, implementation and maintenance of compliance programs for a variety of registered investment advisersDevelopment and implementation of compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm's regulatory requirementsConduct annual compliance reviewsPrepare and deliver compliance trainingPrepare and submit annual and quarterly regulatory filingsMonitor employee personal trading and electronic communicationsPrepare and maintain employee disclosure forms and assist client in organization and maintenance required books and recordsContinuously monitor relevant regulatory changes and assist clients in developing internal controls, accordinglyRegister clients as investment advisers with the appropriate regulatory bodiesAssist in conducting mock regulatory examsAssist in providing SEC exam supportProactively provide practical, business friendly solutions for esoteric regulatory issuesYou have an undergraduate degreeYou have 2 years or more of business related experienceYou have knowledge of the Investment Advisors Act of 1940Thorough understanding of, and experience with, compliance program development and maintenanceYou have strong research skillsYou have the ability to multi-task across a range of projects with constantly shifting prioritiesYou have excellent written and verbal communication skills that help represent diverse communitiesYou have experience working with diverse teams We are looking for a Senior Associate to support our Compliance Consulting team. As a Senior Associate you will take risks and solve problems. You will display leadership and influence others in our Compliance Consulting business.Day to Day Responsibilities:Provide day-to-day support in the development, implementation and maintenance of compliance programs for a variety of registered investment advisersDevelopment and implementation of compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm's regulatory requirementsConduct annual compliance reviewsPrepare and deliver compliance trainingPrepare and submit annual and quarterly regulatory filingsMonitor employee personal trading and electronic communicationsPrepare and maintain employee disclosure forms and assist client in organization and maintenance required books and recordsContinuously monitor relevant regulatory changes and assist clients in developing internal controls, accordinglyRegister clients as investment advisers with the appropriate regulatory bodiesAssist in conducting mock regulatory examsAssist in providing SEC exam supportProactively provide practical, business friendly solutions for esoteric regulatory issuesEssential Traits:You have an undergraduate degreeYou have 2 years or more of business related experienceYou have knowledge of the Investment Advisors Act of 1940Thorough understanding of, and experience with, compliance program development and maintenanceYou have strong research skillsYou have the ability to multi-task across a range of projects with constantly shifting prioritiesYou have excellent written and verbal communication skills that help represent diverse communitiesYou have experience working with diverse teamsAbout KrollJoin the global leader in risk and financial advisory solutions-Kroll. With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. As a part of One Team, One Kroll, you'll contribute to a collaborative and empowering environment, propelling your career to new heights. Ready to build, protect, restore, and maximize our clients' value? Your journey begins with Kroll.In order to be considered for a position, you must formally apply via careers.kroll.com.Kroll is committed to creating an inclusive work environment. We are proud to be an equal opportunity employer and will consider all qualified applicants regardless of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status, age or disability.The current salary range for this position is $70, 000 - $150, 000#LI-Hybrid#LI-SS1Equal Opportunity Employer - minorities/females/veterans/individuals with disabilities/sexual orientation/gender identityMinimum Salary: 0.00Maximum Salary: 0.00Salary Unit: Yearly #J-18808-Ljbffr
