KrollMumbai Metropolitan RegionHybridFull-timeProven six (6) months 3 years of work experience in a compliance role.
Listing expiry: 23 October 2026
About the role
Role Overview
The role supports the Financial Services Compliance and Regulation practice by managing and performing electronic communications surveillance and compliance-monitoring services for clients, primarily hedge funds and private equity funds. It involves monitoring personal trading platforms, identifying potential compliance violations, tracking regulatory developments, and coordinating with external vendors to resolve system issues.
Key Responsibilities
- Coordinate with the US Compliance Consulting practice to manage and perform assigned SEC compliance support services for clients, primarily hedge funds and private equity funds.
- Assist in managing and monitoring personal trading platforms on behalf of clients.
- Proactively monitor and report potential electronic communications compliance violations across archival platforms.
- Work with external vendors to troubleshoot and escalate critical system issues.
- Stay informed about SEC guidance and regulatory changes concerning electronic communications and surveillance systems.
Qualifications & Experience
- 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 3 years of work experience in a compliance role.
- Experience advising hedge funds and private equity funds is an advantage.
- Ability to work independently and as part of a team.
- Client-facing, solutions-focused skills and an interest in data management.
- Clear and logical thinking, sound decision-making, and the ability to communicate decisions effectively.
- Strong spoken and written English communication skills.
- Good time-management skills and the ability to meet deadlines.
- A solution-driven and problem-solving attitude.
- A legal or audit background would be useful.
Additional Details
- The role is part of the Financial Services Compliance and Regulation – Compliance Consulting practice.
- The source states that candidates must formally apply through the employer’s careers website.