Job Description
We are looking for an Analyst to be an essential part of the team assisting the Financial Services Compliance & Regulation - Compliance Consulting practice to support FINRA broker-dealer clients.
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.
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:
- Closely coordinate with the Financial Services Compliance & Regulation – US Compliance Consulting practice team to support services on behalf of broker-dealer clients, including full-service BDs, Capital Acquisition Brokers (CABs) and M&A brokers.
- Assist in drafting, reviewing, and updating Written Supervisory Procedures (WSPs), AML programs, Business Continuity Plans (BCPs), Reg BI/Form CRS policies, and related compliance manuals to align with current FINRA and SEC requirements.
- Support FINRA New Member Applications (NMA) and Continuing Membership Applications (CMA).
- Assist with FINRA Rule 3110 branch office, OSJ, and non-branch location inspections, including preparing document request lists, performing testing, and drafting inspection reports.
- Support annual compliance reviews and risk assessments, including FINRA Rule 3120 supervisory control testing and FINRA Rule 3310 AML independent testing.
- Perform AML/KYC and customer due diligence reviews, including OFAC/sanctions screening, beneficial ownership analysis, red flag resolution, and support for SAR-related escalations.
- Support broker-dealer registration and licensing activities, including Form BD, Form BR, Form U4/U5 filings, fingerprinting, and ongoing CRD/IARD maintenance, as well as exam scheduling and waiver requests.
- Monitor and report on electronic communications surveillance, trade reviews, and other supervisory activities conducted on client archival and surveillance platforms.
- Track and analyze FINRA, SEC, and other SRO rule changes, Regulatory Notices, and enforcement actions, and assist in translating these updates into actionable client guidance and policy updates.
- Support preparation of client-ready deliverables, including gap analyses, compliance trackers, exam readiness materials, and executive summaries, ensuring adherence to Kroll formatting and quality standards.
- Prior experience supporting FINRA-registered broker-dealers, introducing/clearing firms, or private placement agents 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 to 3 years of work experience in a compliance role focused on FINRA broker-dealers.
- 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.
- 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.
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.
In order to be considered for a position, you must formally apply via careers.kroll.com
Kroll is committed to equal opportunity and diversity, and recruits people based on merit.
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