We are currently seeking an ambitious individual to join our team as a Senior Associate in our Compliance Consulting practice. In this role, you will help assist clients in setting up firms, obtaining their initial authorization or registration, and providing them with ongoing compliance advice to navigate the rapidly changing regulatory landscape. As a Senior Associate, you will develop a detailed knowledge of both UK and US regulatory requirements and gain exposure to premier alternative investment firms (including hedge funds, private equity, real estate managers, brokers and corporate finance businesses).
RESPONSIBILITIES:
- Responsible for managing a portfolio of client relationships
- Drafting compliance manuals and other compliance documentation for clients (such as Compliance Officer and MLRO reports, SYSC risk registers, conflicts registers)
- Setting up the compliance infrastructure for clients
- Undertaking periodic compliance monitoring reviews at client premises or remotely
- Writing compliance monitoring reports
- Managing regulatory reporting schedules
- Drafting and/or reviewing FCA Reports and Returns (both financial and non-financial returns)
- Providing pragmatic regulatory advice and solutions to clients
- Updating and advising clients on regulatory change and developments.
- Updating compliance material to take account of rule changes
- Drafting regulatory articles and client alerts
- Networking with industry professionals
REQUIREMENTS:
- Proven experience in a compliance or regulatory role within the FCA, an FCA regulated firm or a consultancy practice.
- Detailed knowledge and understanding of the FCA Handbook and UK legislative framework
- Detailed knowledge of the investment management and broking sectors
- Broad understanding of the alternative investment industry
- Ability to work on own initiative and as part of a team
- Client facing, solutions focused skills
- Clear, logical thought processes, ability to make decisions and articulate these clearly
- Strong oral and written communication skills
- Time management and ability to work under pressure
- Legal or audit background would be useful
- Contacts within the UK and overseas investment industry would be useful
- Experience of US regulation would be useful
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 equal opportunity and diversity, and recruits people based on merit.
In order to be considered for a position, you must formally apply via careers.kroll.com.
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