Job Information
Kroll, LLC Senior Associate, Compliance Consulting in New York, New York
Were looking for a Senior Associate to support our Compliance Consulting team. As a Senior Associate you will take risks and solve problems. You will display leadership and influence others in our Compliance Consulting business.
Day to Day Responsibilities:
- Provide day-to-day support in the development, implementation and maintenance of compliance programs for a variety of Broker Dealers
- Prepare and submit NFA and CFTC filings, including Form CPO-PQR, Form 40, Form CTA-PR, 1-FR's and other required reports.
- Draft and submit registration documents for CTAs, CPOs, and IBs
- Advise on and implement regulatory compliance programs for CTAs, CPOs, and IBs
- Advise clients on complex matters surrounding NFA and CFTC regulatory obligations.
- Draft and submit NFA Annual Questionnaire
- Assistance with NFA Self-Examination Questionnaire
- Ensure accurate and timely completion of all regulatory documentation.
- Advise on and assist with the completion of NFA regulatory testing and monitoring, and internal audits.
- Proactively provide practical, business friendly solutions for esoteric regulatory issues
Essential Traits:
- You have an undergraduate degree
- 2 years or more of relevant business experience is preferred
- You have experience with swaps, futures, or other derivatives
- You have excellent verbal and written communication and analytical skills
- You have knowledge of SEC Advisers Act and or FINRA Rules
- Relevant certifications preferred (e.g., NFA Series 3, CFTC Compliance Professional)
- You have strong research skills
- You have the ability to multi-task across a range of projects with constantly shifting priorities
- You have excellent written and verbal communication skills that help represent diverse communities
- You have experience working with diverse teams
About Kroll
Join the global leader in risk and financial advisory solutions-Kroll. With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. As a part of One Team, One Kroll, you'll contribute to a collaborative and empowering environment, propelling your career to new heights. Ready to build, protect, restore, and maximize our clients' value? Your journey begins with Kroll.
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.
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.
The current New York/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: 0.00 Maximum Salary: 0.00 Salary Unit: Yearly