Director, Compliance Consulting

Kroll; Greater London; Hybrid; GBP 120,000 - 180,000; Full time

Job summary

Kroll's Compliance Consulting practice helps firms navigate regulatory authorization, registration, and ongoing compliance across evolving regimes.

This senior role leads delivery of complex regulatory reviews for asset managers and investment firms, mentors teams, and shapes client strategy with proactive risk insights.

You will interact with senior management and regulators, drive business development, and contribute to thought leadership through regulatory articles and client alerts.

Qualifications

• 8+ years in regulatory compliance, across in-house, regulator, or professional services.
• Bachelor’s degree is required.
• Strong client relationships with regulatory advisory skills.
• Deep knowledge of regulations for asset managers and fund managers.
• Proven ability to lead project teams delivering practical, commercial solutions.

Responsibilities

• Interact with senior management of firms and regulators.
• Develop client relationships and identify new opportunities with existing or new clients.
• Act as the main client contact for engagement delivery on a daily basis while delivering on client deliverables.
• Oversee delivery of complex regulatory reviews and projects for our clients.
• Lead and mentor teams within the regulatory group (VP, Senior Associate and Analyst).
• Contribute to thought leadership through regulatory articles and client alerts, and support business development.
• Provide technical expertise on complex FCA regulation, registration, ongoing compliance and reporting.
• Develop firm templates, compliance manuals, policies and client monitoring programmes.
• Stay abreast of regulatory developments and lead responses to new regulations.
• Ensure profitable client relationships through effective service delivery and project management.
• Drive process improvements and deployment of technology to streamline delivery.

Skills

Regulatory compliance

Client management

Regulatory authorities

Team leadership

Regulatory reporting

Regulatory strategy

Education

Bachelor’s degree

Job description

Our Compliance Consulting practice assists clients in setting up firms, obtaining their initial regulatory authorization or registration, and providing them with ongoing compliance advice and support to navigate the rapidly changing regulatory landscape.

At Kroll, your work will help deliver clarity to our clients’ most complex governance, risk, and transparency challenges.

RESPONSIBILITIES:

• Interacting with the Senior Management of firms and regulatory authorities
• Building and developing client relationships while also identifying and sourcing new opportunities with existing or new clients
• Act as a key point of contact for clients on engagement delivery on a daily basis while executing on client deliverables
• Overseeing the delivery of complex regulatory reviews and projects for our clients
• Team leadership including training, managing, mentoring and developing your own team (VP, Senior Associate and Analyst levels) within the wider regulatory team
• Thought leadership, including producing regulatory articles and client alerts, and involvement in the team’s business development strategy
• Provide technical expertise on complex issues around FCA regulations, registration, ongoing compliance issues and reporting
• Developing the Firm’s intellectual property including template compliance manuals, policies and client monitoring programmes
• Stay abreast of relevant regulatory developments and lead the development of the Firm’s response to new regulations
• Ensuring profitable client relationships through the active management of service delivery
• Driving process improvement, automation and the deployment of new technology tools to streamline internal processes and client delivery

REQUIREMENTS:

• Minimum of 8 years of experience working in-house, at a regulatory authority or within the legal/consulting/professional services industry, focused on regulatory compliance.
• Bachelor’s degree is required.
• Proven client relationship experience; giving advice on regulatory matters and demonstrable strong technical skills in regulatory compliance issues.
• Detailed knowledge the regulations applicable to asset managers, alternative investment fund managers, and investment firms is required.
• Demonstrable experience in building and managing project teams to address complex issues and deliver practical, commercial solutions.
• Excellent oral and written communication skills with the ability to provide clear and concise analysis and recommendations.
• Ability to lead and manage day-to-day aspects of engagement activities and an ability to work with clients.
• A sound knowledge of US (SEC and CFTC) requirements would be an advantage but not essential.