Senior Associate, Compliance Consulting

Job description

At Kroll, your work will help deliver clarity to our clients' most complex governance, risk, and transparency challenges. Responsibilities - Responsible for supporting UK-based compliance consulting team managing a portfolio of client relationships - Drafting and updating compliance manuals and other compliance documentation for clients - Setting up clientscompliance infrastructure - Undertaking periodic compliance monitoring reviews and compliance testing - Writing compliance monitoring reports - Managing regulatory reporting schedules and compliance calendars - Drafting and/or reviewing FCA Reports and Returns (financial and non-financial) and SEC filings - Providing ad hoc regulatory advice - Performing financial promotions and marketing material reviews - Managing compliance processes for clients, using proprietary or third-party compliance systems as necessary - Drafting regulatory notifications and applications (e.g. FCA approved person forms, Appointed Representative applications, Authorisation applications, SEC Form ADV etc.) Requirements - Proven experience in a compliance role within the FCA/SEC, an FCA/SEC regulated firm/group or a consultancy practice. - Knowledge and understanding of the FCA/SEC rules and regulations and global compliance standards - 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 both UK and US regulation would be useful