Senior Associate, Regulatory Consulting
Kroll’ Regulatory consulting team helps firms deliver on a wide range of special projects and complex advisory services, including mock examinations, event-driven or crisis advisory, M&A compliance assessments, independent consultancies/monitorships, management- or board-mandated reviews, regulatory examination and enforcement advisory, and gap analysis.
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.
Day-to-day responsibilities:
- Assisting on a wide range of engagements interviews, document review and contribution to report development and writing. This includes working in the following areas:
- Securities rules, laws, regulations, and related compliance policies and procedures
- Assist in SEC support;
- Regulatory Due Diligence
- Governance and board effectiveness reviews
- Compliance risk reviews
- Assisting with the drafting of compliance documentation for clients (manuals and procedures, templates, risk assessments etc.);
- Assisting with ad hoc regulatory advice and solutions;
- Liaising with clients and maintaining client relationships;
- Provision of compliance monitoring services;
- Contributing to the design and implementation of compliance frameworks;
- Assisting with client proposals;
- Networking and relationship building with industry professionals and industry bodies;
- Reporting on findings and providing recommendations for procedural improvements to meet regulatory and best practice requirements.
Essential traits:
- Experience of at least 4 to 8 years within compliance and regulatory domain.
- Desired knowledge/ experience on US Federal Securities Law and Investment Advisory Act.
- Strong, independent self –starter, as well as collaborative problem solver.
- Ability to multi-task across a range of projects with constantly shifting priorities.
- Attention to detail and ability to work within time constraints.
- Exceptional oral and written communication skills.
- Experienced with Microsoft applications including Word and PowerPoint.
- Numerical proficiency.
About Kroll
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 value the diverse backgrounds and perspectives that enable us to think globally. As part of One team, One Kroll, you’ll contribute to a supportive and collaborative work environment that empowers you to excel.
Kroll is the premier global valuation and corporate finance advisor with expertise in complex valuation, disputes and investigations, M&A, restructuring, and compliance and regulatory consulting. Our professionals balance analytical skills, deep market insight and independence to help our clients make sound decisions. As an organization, we think globally—and encourage our people to do the same
Kroll is committed to equal opportunity and diversity, and recruits people based on merit.
In order to be considered for a position, you must formally apply via careers.kroll.com.
Once you have applied, you will receive a survey from Career Spark to complete – this step is mandatory if you wish to be considered.
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