Analyst, Financial Services Compliance and Regulation

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.

Our Regulatory Consulting and Compliance Consulting practices help firms deliver on a wide range of professional service engagements to ensure their systems and controls are working effectively. These include matters relating to financial crime, compliance risk management, regulatory readiness, compliance monitoring and regulatory reporting. We also support the set-up of firms, helping them obtain their initial authorisation and provide them with ongoing compliance advice so they can navigate a rapidly changing regulatory landscape. Our work ranges from large one-off remediation projects to ongoing retained compliance support and management and ad hoc advisory engagements.

In this role, you will develop technical and practical knowledge of UK, European and US regulatory requirements and gain exposure to a wide range of financial services firms. Kroll operates in both the wholesale and retail financial services sectors, supporting banks, investment managers, brokers, exchanges, crypto traders, mortgage lenders, private equity houses, corporate finance advisors and more.

At Kroll, your work will help deliver clarity to our clients’ most complex governance, risk, compliance and regulatory challenges. Apply now to join One team, One Kroll. 

RESPONSIBILITIES:

• Participate in a range of engagements which may include regulatory remediation projects, s166 Skilled Person and other deep-dive regulatory commissioned reviews, advisory support and regulatory due diligence reviews.
• Assist the team in supporting our retained clients through compliance monitoring visits, drafting client reports and helping firms understand how regulatory rules apply to their business
• Assisting in the project management of regulatory applications to the FCA, SEC and CFTC as well as our regulatory hosting business
• Conduct research and draft advice on UK and other applicable regulations
• Support with management of day-to-day client relationships and project management activities
• Training in regulations applicable to the UK regulatory environment, and more globally when required
• Critically analyse information and data to identify issues, trends and assess operational effectiveness
• Drafting client deliverables including written reports, training materials, compliance manuals, policies and procedures
• Helping to establish clients’ compliance infrastructure
• Potential for secondments and project work with clients
• Managing internal regulatory reporting schedules
• Attendance at internal and external seminars, developing you networking skills
• Contribute to business development opportunities including proposals, pitches, internal and external publications

REQUIREMENTS:

• Minimum 2.1 degree from a top university ideally in a related degree such as regulation, law, business studies etc.
• An interest in/awareness of current issues facing the financial services industry
• Strong oral and written communication skills with experience presenting
• Collaborative and cooperative working style with the ability to work within a range of team sizes
• Enthusiasm and flexibility
• Ability to prioritise and juggle conflicting tasks successfully, responding positively to pressure
• Strong, diligent work ethic and attention to detail and judgement focused decision making
• Intellectually rigorous and curious with a demonstrated growth mindset

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

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

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

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