Senior Associate, US Compliance Consulting

Kroll; Mumbai; On-site; INR 1,500,000 - 2,100,000; Full time

Job summary

Kroll is seeking bright, innovative individuals to join our compliance team. This role supports the UK-based compliance consulting team, managing client relationships and drafting compliance manuals, setting up clients' compliance infrastructure, and performing monitoring and reporting.

The ideal candidate has proven FCA/SEC experience, knowledge of investment management and broking, and a broad understanding of the alternative investment industry.

Qualifications

• 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

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 clients' compliance infrastructure
• Undertaking periodic compliance monitoring reviews and compliance testing
• Writing compliance monitoring reports
• Managing regulatory reporting schedules and compliance calendars
• Drafting regulatory notifications and applications (e.g. FCA approved person forms, Appointed Representative applications, Authorisation applications, SEC Form ADV etc.)
• 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

Skills

FCA/SEC knowledge

Client-facing

Regulatory reporting

Excellent communication

Job description

In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity - not just answers in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you'll contribute to a supportive and collaborative work environment that empowers you to excel.

We are looking for bright, innovative individuals to be part of a growing team, individuals that have initiative and who will relish taking on responsibility. This role would suit someone proactive, who thrives in a fast-paced environment, and enjoys multitasking.

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 clients' compliance 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

About Kroll

In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity - not just answers in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you'll contribute to a supportive and collaborative work environment that empowers you to excel.

Kroll is committed to equal opportunity and diversity, and recruits people based on merit.