Senior Associate, Compliance Consulting

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.

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:

• 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

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