Analyst, Compliance Consulting
Kroll · Mumbai · onsite · Posted 50d ago
Undisclosed2–6 yrsfulltimeSourced from
About a minute. You'll make an account on the way through.
About this role
Job Summary
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 environment.
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)
- 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.
- 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
- Keen interest in technology, systems functionality, and innovative process improvement solutions
- Legal or audit background would be useful.
Sourced from naukri
Skills
alphaanalytical thinkingArticulateMicrosoft PurviewmimecastCommunication SkillsHedge FundsData ManagementmaintenanceAdministrationFinancial ServicesEquityLegalPrivate EquityAccountingcompliancefinance
About Kroll
Kroll
Financial Services
1.0k+
employees
1932
94 years old
New York, New York
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Kroll provides proprietary data, technology and insights to help its clients stay ahead of complex demands related to risk, governance and growth.
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