Senior Associate, Regulatory Consulting

Kroll; Hong Kong; Vor Ort; HKD 600.000 - 900.000; Vollzeit

Zusammenfassung

Kroll’s Compliance Consulting practice assists clients in setting up firms, obtaining initial authorization or registration, and providing ongoing compliance advice to navigate changing regulatory landscapes. As a Senior Associate you will embody drive, embrace change and take risks.

You will be innovative and solve problems in our Compliance Consulting business. Join a global leader in risk and financial advisory solutions, where collaboration and client value drive your career.

Qualifikationen

• Minimum 3 years of experience in audit or compliance focusing on the asset management industry.
• Audit background within Financial Services or Asset and Wealth Management would be desirable.
• Experience in SFC FRR reporting, regulatory compliance, or audit/advisory for licensed corporations preferred.
• Detailed understanding of SFC rules and regulations (including FMCC and MIC).
• Broad understanding of the alternative asset management industry.
• Strong English oral and written communication skills.

Aufgaben

• Assist the Senior Vice President in planning and completing audit engagements and regulatory compliance projects for asset managers and financial institutions.
• Prepare and refine audit procedures for conduct of engagements across Asia-Pacific.
• Execute audit procedures to assess design and operating effectiveness of internal controls.
• Prepare written audit reports with issues and recommendations.
• Develop relationships with clients (hedge funds, private equity, venture capital and alternative asset managers).
• Networking and relationship building with industry professionals and bodies.
• Report findings and provide recommendations for procedural improvements to meet regulatory and best practice requirements.
• Manage regulatory filing and reporting schedules.
• Provide ad hoc regulatory advice and creative solutions.

Kenntnisse

Audit/Compliance knowledge

English communication

Stakeholder management

Jobbeschreibung

Kroll’s Compliance Consulting practice assists clients in setting up firms, obtaining their initial authorization or registration, and providing them with ongoing compliance advice to navigate the rapidly changing regulatory landscape. As a Senior Associate you will embody drive, embrace change and take risks. You will be innovative and solve problems in our Compliance Consulting business.

Responsibilities

• Assist the Senior Vice President in the planning and completion of audit engagements and other regulatory compliance projects for asset managers and other financial institutions
• Prepare and refine audit procedures for the conduct of audit engagements/projects across Asia-Pacific
• Execute audit procedures to assess, design and operating effectiveness of internal controls
• Prepare written audit reports by drafting audit issues and recommendations on the review results of audit engagements/projects
• Develop and maintain professional working relationships with clients (primarily hedge funds, private equity, venture capital and alternative asset managers)
• Networking and relationship building with industry professionals and industry bodies
• Reporting on findings and providing recommendations for procedural improvements to meet regulatory and best practice requirements
• Managing regulatory filing and reporting schedules
• Providing ad hoc regulatory advice and creative solutions

Requirements

• Minimum 3 years of experience in audit or compliance role focusing on the asset management industry
• Audit background within Financial Services or Asset and Wealth Management would be highly desirable
• Experience in SFC FRR reporting, regulatory compliance, or audit/advisory for licensed corporations (Big 4, consulting, or in-house at a licensed corporation preferred)
• Detailed understanding of SFC rules and regulations (including FMCC and MIC)
• Broad understanding of the alternative asset management industry
• Strong English oral and written communication skills

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.