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Full-time
Posted 35d ago
~40 hrs/week
Responsibilities
Support the UK-based compliance consulting team by managing client relationships and drafting essential compliance documentation. Perform periodic monitoring reviews, manage regulatory reporting schedules, and provide ad hoc regulatory advice for FCA and SEC filings.
Requirements
Requires proven experience in a compliance role within an FCA/SEC regulated firm or consultancy with deep knowledge of investment management and broking. Strong communication skills and the ability to work independently in a fast-paced environment are essential.
Full 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. Apply now to join One team, One Kroll.
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.
In order to be considered for a position, you must formally apply via careers.kroll.com
As the leading independent provider of risk and financial advisory solutions, Kroll leverages our unique insights, data and technology to help clients stay ahead of complex demands. Kroll's team of more than 6,500 professionals worldwide continues the firm’s nearly 100-year history of trusted expertise spanning risk, governance, transactions and valuation. Our advanced solutions and intelligence provide clients the foresight they need to create an enduring competitive advantage. At Kroll, our values define who we are and how we partner with clients and communities. Learn more at Kroll.com.
Offices: One World Trade Center 285 Fulton Street, 31 Fl, New York, NY 10007, US · 167 N Green St, 12 Fl, Chicago, Illinois 60607, US · 3 London Bridge Street, Level 6, South Bank, England SE1 9SG, GB · Three Pacific Place, 1 Queen's Rd E, Level 3, Hong Kong, CN · 125 High St, 30 Fl, Boston, Massachusetts 02110, US
ValuationComplianceRegulationCorporate FinanceRestructuringCyber RiskESGInvestigationsDisputesand Business Services
As the leading independent provider of risk and financial advisory solutions, Kroll leverages our unique insights, data and technology to help clients stay ahead of complex demands. Kroll's team of more than 6,500 professionals worldwide continues the firm’s nearly 100-year history of trusted expertise spanning risk, governance, transactions and valuation. Our advanced solutions and intelligence provide clients the foresight they need to create an enduring competitive advantage. At Kroll, our values define who we are and how we partner with clients and communities. Learn more at Kroll.com.
Offices: One World Trade Center 285 Fulton Street, 31 Fl, New York, NY 10007, US · 167 N Green St, 12 Fl, Chicago, Illinois 60607, US · 3 London Bridge Street, Level 6, South Bank, England SE1 9SG, GB · Three Pacific Place, 1 Queen's Rd E, Level 3, Hong Kong, CN · 125 High St, 30 Fl, Boston, Massachusetts 02110, US
ValuationComplianceRegulationCorporate FinanceRestructuringCyber RiskESGInvestigationsDisputesand Business Services