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Job Description
Responsibilities:-
- Closely coordinate with the Financial Services Compliance & Regulation - US Compliance Consulting practice to manage and perform various ongoing SEC compliance support services 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.
- Review and provide compliance comments to marketing materials, including investor letters, DDQs and presentations
- Work closely with external vendors to troubleshoot and escalate critical systems issues
- Actively monitor and report on potential electronic communication compliance violations
- Prepare employee training slides based on policies and procedures as well as SEC / FINRA / NFA recent developments
- Stay abreast of SEC guidance regarding regulatory changes and guidance regarding electronic communications and surveillance systems
- Draft updates to client Form ADV registration materials
- Prepare Compliance Manuals and Code of Ethics for clients that are designed to satisfy SEC rules and regulations
- Experience advising hedge funds and private equity funds is a plus.
Qualification:-
- Bachelor's or master’s 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 2-5 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
- 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
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Skills
Finance And AccountsAccountingAuditComplianceForecastingPrivate EquityRegulatory ReportingHedge FundLegalRegulatory ComplianceFinancial ServicesM.ComB.ComBBAMBALLBLLMIf an employer asks you to pay any kind of fee, please notify us immediately. Jobaaj does not charge any fee from the applicants and we do not allow other companies also to do so.
About Company
Kroll, a global leader in risk management, offers a diverse range of opportunities through Kroll's careers. Specializing in governance, risk, and transparency, Kroll careers appeal to professionals interested in cybersecurity, corporate finance, investigations, and compliance. Kroll promotes a culture of integrity and excellence, providing employees with the tools and training necessary to advance their expertise and tackle complex challenges. This dynamic work environment encourages continuous professional development and innovation. For those looking to contribute to a safer, more secure global marketplace, the Kroll careers page offers detailed information on available positions, company values, and the benefits of joining their expert team.
Important dates & deadlines?
Application Deadline
07 Jul 22, 11:28 AM IST
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Analyst, Compliance Consulting
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