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 andMLRO 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-financialreturns)

Providing pragmatic regulatory advice and solutions to clients

Updating and advisingclients 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 Handbookand 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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