In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity-not just answers-in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you'll contribute to a supportive and collaborative work environment that empowers you to excel.

　　Our Regulatory Consulting team provides expert compliance support for a variety of firms including hedge funds, private equity and private credit firms, wealth managers, and broker dealers.

　　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:

　　As a Senior Associate you will take risks and solve problems. You will display leadership and influence others in our Regulatory Consulting business.

　　Conduct mock regulatory exams to identify compliance program gaps, including analyzing financial and legal documents, creating interview outlines, and drafting feedback or reports; Provide support to clients undergoing SEC and other regulatory examinations; Proactively research and provide practical, business friendly, compliant solutions for esoteric regulatory issues; Develop and implement compliance programs for a variety of registered investment advisers and other SEC or FINRA registrants; Continuously monitor relevant regulatory changes, create thought leadership, and assist clients in adapting to a changing regulatory landscape; Conduct annual compliance reviews; Perform regulatory due diligence in connection with mergers and acquisitions; Research and draft expert reports and related filings and prepare for depositions and trial testimony

　　 REQUIREMENTS:

　　Undergraduate degree required Minimum of 3 years of compliance or other relevant financial industry related experience; a relevant graduate degree in law, business, accounting, or similar is a plus; Familiarity with the requirements of the Investment Advisers Act of 1940 and/or the Investment Company Act of 1940; Understanding of, and experience with, the businesses of hedge funds, private equity and private credit firms, wealth managers, or broker dealers, SEC and other regulatory examinations, SEC and other regulatory requirements, and/or associated compliance or governance and risk management program development and maintenance; Driven, displays leadership skills, influences others as well as collaborative problem solver; Strong research skills; Ability to multi-task across a range of projects with constantly shifting priorities; Risk tolerant and comfortable in a rapidly changing environment; Excellent written and verbal communication skills, including that help represent diverse communities; Experience working with diverse and collaborative teams

　　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 New York and California salary range for this position is $70, 000 - $150, 000.

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　　Equal Opportunity Employer - minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity

　　Minimum Salary: 0.00Maximum Salary: 0.00Salary Unit: Yearly