Analyst, Compliance Consulting at Duff & Phelps, LLC in New York, New York

Job Description:

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.

Kroll ' Compliance Consulting provides expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers and broker dealers. Our Analysts receive world-class training, outstanding benefits, strong career progression, competitive salaries and relocation assistance when applicable.

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:

• Provide day-to-day support in the development, implementation and maintenance of compliance programs for a variety of registered investment advisers;
• Development and implementation of compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm's regulatory requirements;
• Conduct annual compliance reviews;
• Prepare and deliver compliance training;
• Prepare and submit annual and quarterly regulatory filings;
• Monitor employee personal trading and electronic communications;
• Prepare and maintain employee disclosure forms and assist client in organization and maintenance required books and records;
• Continuously monitor relevant regulatory changes and assist clients in developing internal controls, accordingly.
• Register clients as investment advisers with the appropriate regulatory bodies;
• Assist in conducting mock regulatory exams;
• Assist in providing SEC exam support.

REQUIREMENTS:

• Undergraduate degree required
• 1 - 2 years business or legal related experience;
• Knowledge of the Investment Advisers Act, Commodity Exchange Act and the rules of the National Futures Association is a plus;
• Experience working with SEC registered investment advisers, and in particular private funds is a plus;
• Excellent written and verbal communication skills;
• Thorough understanding of, and experience with, compliance program development and maintenance;
• Strong, independent self -starter, as well as collaborative problem solver;
• Strong research skills;
• Ability to multi-task across a range of projects with constantly shifting priorities;
• Experience working with diverse teams

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.

Apply Now