Senior Associate, Compliance Consulting

Kroll; Mumbai Suburban; On-site; INR 12,00,000 - 18,00,000; Full time

Job summary

A leading financial advisory firm in Mumbai is seeking a Senior Associate to assist financial institutions with risk and compliance projects. The ideal candidate has over 5 years of experience in compliance within financial services. Responsibilities include undertaking reviews, managing client relationships, and drafting reports. This role offers exposure to diverse regulatory topics and excellent career development opportunities.

Qualifications

• 5+ years of proven compliance experience within a regulator, financial institution or consulting firm.
• Excellent oral and written communication skills in English.
• Prior experience in Anti-Money Laundering and Risk Management regulatory projects.

Responsibilities

• Undertake reviews identifying control failings and operational weaknesses.
• Manage and maintain client relationships.
• Prepare pitch documents and proposals for potential work.

Skills

Compliance experience

Communication skills

Time management

Logical reasoning

Team player

Education

International Compliance Association Qualification

Chartered Institute of Securities and Investment Qualification

ACAMS Certification

Job description

Kroll is looking for a Senior Associate to join our financial services compliance and regulation practice in Mumbai where you will assist banking, asset management, investment and other regulated financial institutions by delivering on a wide range of engagements including financial crime, governance, enterprise and operational risk, compliance risk, regulatory readiness, compliance monitoring and regulatory reporting.

Apply now to join One team, One Kroll.

Responsibilities

As a Senior Associate within an expanding team, you will gain exposure to exciting projects. In addition, your career and development opportunities are unparalleled with exposure to clients from day one. Being part of a specialist group, but within a truly global firm, means your personal impact will be instant and supported by an ambitious full service professional services firm.

As a Senior Associate you will work to:

• Undertake reviews following a risk-based approach, identifying control failings and operational weaknesses across a range of firms
• Provide on the job and ad hoc advice and support to clients
• Manage and maintain client relationships
• Draft reports for firms and international regulators
• Collate and manipulate data, visualising trends and patterns in performance
• Prepare pitch documents and proposals for potential work and engage in Business Development activities

You will be a key member on a wide range of engagements, including Skilled Person Reviews, risk and compliance health-checks and assurance reviews, and wider projects across a wide-range of potential topics including:

• Regulatory Risk
• AML / Financial Crime
• Enterprise and Operational Risk Management
• Market Abuse, surveillance and trading controls
• Regulatory Reporting
• Consumer Protection
• Governance
• Regulatory readiness
• Regulatory Gap Assessment

The Ideal Candidate

We are looking for someone who is passionate, focused, collaborative and entrepreneurial. This role would suit a team player with the ability to use their own initiative and provide prompt practical services to clients.

• Banking and Financial Services
• 5+ years of proven compliance experience within a regulator, financial institution or consulting firm
• Exposure to working with UAE licensed financial institutions or UAE regulations is a plus
• Big 6 experience is a plus
• Excellent oral and written communication skills in English
• Excellent time management and ability to work under pressure
• Clear and logical reasoning ability to make assessments and articulate them clearly
• Prior experience in Anti-Money Laundering, Operational Risk or Risk Management regulatory projects
• Prior experience in internal audit roles with exposure to testing controls and systems is a plus
• Proven regulatory experience and knowledge
• Qualifications such as International Compliance Association (ICA), Chartered Institute of Securities and Investment (CISI), and ACAMS are beneficial

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