Senior Associate Compliance Consulting

Kroll; Mumbai City; Sur place; INR 1 200 000 - 1 800 000; Plein temps

Résumé du poste

Kroll in Mumbai, India, seeks a Senior Associate for Compliance Consulting to support electronic surveillance monitoring for financial services clients, mainly hedge funds and private equity funds. You will coordinate with the US practice, monitor trading platforms, and ensure regulatory alignment with SEC guidance.

The role requires initiative, teamwork, and strong communication skills. The candidate should have a commerce/accounting/law/business degree, with 6 months to 7 years of compliance

Qualifications

• Six months to 6-7 years of work experience in a compliance role.
• Ability to work on own initiative and in a team.
• Strong English oral and written communication skills.
• Time management and ability to meet deadlines.
• Solution-driven and problem-solving attitude.
• Legal or audit background would be useful.

Responsabilités

• Coordinate with US Compliance Consulting practice to manage SEC compliance support services for clients (hedge funds and PE funds).
• Assist in managing and monitoring personal trading platforms for FSCR-CC clients.
• Monitor and report potential electronic communications compliance violations on archival platforms.
• Work with external vendors to troubleshoot systems issues.
• Stay updated on SEC guidance regarding electronic communications and surveillance systems.

Connaissances

Problem-solving

Communication

Client-facing

Data management

Time management

Team player

Formation

Bachelor's or Master's degree in Commerce/Accounting/Law/Business Administration

Description du poste

Job Description:

Senior Associate-Compliance Consulting

We are looking for a Senior Associate 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.

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)
• 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
• Work closely with external vendors to troubleshoot and escape critical systems issues.
• Actively monitor and report on potential electronic communication compliance violations
• Stay abreast of SEC guidance regarding regulatory changes and guidance regarding electronic communications and surveillance systems.
• Experience in advising hedge funds and private equity funds is a plus.

Requirements:

• 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 six (6) months 6-7 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.
• StrongEnglish 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.

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 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 is committed to equal opportunity and diversity, and recruits people based on merit.