Senior Associate, Compliance Consulting

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’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.

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:

As a Senior Associate you will take risks and solve problems. You will display leadership and influence others in our Compliance Consulting business.

• Provide day-to-day support in the development, implementation and maintenance of compliance programs for a portfolio of SFC, SEC registered investment advisers, including but not limited to:
• Development and implementation of compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm’s regulatory requirements
• Drafting compliance manuals and other compliance documentation for clients
• Preparing compliance manuals and other related policies and procedures 
• Establishing and maintaining the compliance infrastructure for clients
• Setting up the compliance infrastructure and assisting ongoing compliance monitoring
• Undertaking periodic compliance monitoring reviews at client premises
• Writing compliance monitoring reports
• Managing regulatory filing and reporting schedule
• Providing ad hoc regulatory advice and creative solutions
• Updating clients on regulatory change
• Networking and relationship building with industry professionals and industry bodies

REQUIREMENTS:

• Bachelor’s Degree required
• Minimum 3+ years of experience in a compliance role, for example within an SFC regulated firm or a compliance consultancy practice
• Detailed understanding of SFC, SEC rules and regulations
• Understanding of the financial services industry i.e. asset management and broking sectors
• Broad understanding of the alternative asset management industry
• Ability to work on own initiative and as part of a team
• Client facing, solutions focused skills
• Driven, displays leadership skills, influences others as well as collaborative problem solver;
• Risk tolerant and comfortable in a rapidly changing environment 
• Clear, logical thought processes, ability to make decisions and articulate these clearly
• Strong English oral and written communication skills
• Time management skills and ability to work within deadlines
• Solution-driven and problem-solving attitude
• Legal or audit background would be useful

Once you have applied, you will receive a survey from Career Spark to complete – this step is mandatory if you wish to be considered.

In order to be considered for a position, you must formally apply via careers.kroll.com.

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