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