Intern, Financial Services Regulation & Compliance (Finance)
Financial Services Regulation & Compliance Intern
Join Kroll's Global Financial Services Regulation & Compliance Team and gain hands-on experience in the dynamic field of Compliance. We are seeking motivated and detail-oriented individuals to contribute as new joiners in our Compliance Consulting Group.
Kroll's Financial Services Regulation & Compliance Group provides expert compliance support primarily to hedge funds, private equity firms, wealth managers and broker dealers in satisfying regulatory requirements by the SEC, FINRA, CFTC as well as international regulators. Kroll professionals possess an understanding of regulatory requirements, analytical skills and operations to support our client's compliance needs and provide tailored solutions in order to navigate the rapidly changing regulatory landscape. As a member of our team, you'll discover a supportive and collaborative work environment that empowers you to excel.
RESPONSIBILITIES:
Interns will work with team leaders to provide day-to-day or ad hoc support in the development, implementation and maintenance of compliance programs for a variety of registered investment advisers, including but not limited to:
- Assist in development and implementation of compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client's supervised and access person, in accordance with the Firm's regulatory requirements
- Assist with and conduct annual compliance reviews
- Assist to prepare and present compliance training
- Assist to Prepare and submit annual and quarterly regulatory filings
- Assist to monitor employee personal trading and electronic communications
- Assist to prepare and maintain employee disclosure forms and assist with the management of compliance platforms
- Assist client in organization and maintenance required books and records
- Assist to monitor relevant regulatory changes on an ongoing basis 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
- Provide secondment support to clients and assist with any other ad-hoc client requests
REQUIREMENTS:
- Currently pursuing or recently completed a Bachelor's or Master's degree in International Relations/Affairs, Journalism, Global Affairs, Regional Studies, Political Science, Law or other related areas of study, Accounting, Finance, Economics, Statistics, Business Administration or Management (with a concentration in Accounting, Finance or Economics), a degree focused on complex problem solutions from an accredited university or college.
- Graduation date between December 2025 and September 2026
- Major GPA of 3.0
- Excellent written and verbal communication skills
- Strong, independent self -starter, as well as collaborative problem solver with excellent relationship-building qualities for working in a team
- Strong research skills
- Detail-oriented with ability to organize, multitask, and a capacity for clear and logical reasoning
- Independent, disciplined and possess the skills to work across a range of projects with constantly shifting priorities
- Excellent time management, organization, and ability to work under pressure
- Proficient in Microsoft Office package: MS PowerPoint, Word, Excel
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
Salary range for this position is $18 - $28 USD/ hr.
#LI-JP1Join Kroll's Global Financial Services Regulation & Compliance Team and gain hands-on experience in the dynamic field of Compliance. We are seeking motivated and detail-oriented individuals to contribute as new joiners in our Compliance Consulting Group.
