Senior Associate, Compliance Consulting

Responsibilities

• Responsible for managing a portfolio of client relationships (particularly Appointed Representatives of our Regulatory Hosting business)
• Drafting compliance manuals and other compliance documentation for clients
• Setting up the compliance infrastructure for clients
• Undertaking periodic compliance monitoring reviews remotely and at client premises
• Writing compliance monitoring reports
• Drafting and/or reviewing FCA Reports and Returns (financial and non-financial)
• Providing ad hoc regulatory advice, solutions and financial promotions reviews
• Updating clients on regulatory change
• Assisting in updating compliance material to take account of Rule changes
• Networking with industry professionals
  
  

Requirements

• Proven experience in a compliance role within the FCA, an FCA regulated firm or a consultancy practice (ideally with a regulatory hosting element).
• Detailed knowledge and understanding of the FCA Handbook
• 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
• In order to be considered for a position, you must formally apply via careers.kroll.com.
  
  

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.