Senior Associate, Regulatory Consulting (Retail)

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. 

Within Kroll’s Financial Services Compliance and Regulation practice, our global Regulatory Consulting team provides financial services clients with end-to-end compliance and regulatory services, working alongside them to minimize risks, drive efficiencies, and ensure compliance. We assist our clients at every stage of the business lifecycle for both domestic and cross-border jurisdictional assignments. 

Our Regulatory consulting team helps firms deliver on a wide range of engagements including governance, conduct and culture, compliance, financial crime (including AML and sanctions), capital markets (including market abuse, algorithmic trading and transaction reporting), consumer outcomes, ESG, client monies/assets, and operational and enterprise risk.

The types of client projects we work on include regulatory commissioned reviews, such as s166 Skilled Person reports, designing and developing frameworks, risk mitigation and remediation projects, regulatory internal audits, regulatory due diligence and technical advisory support. 

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 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 (focused on Retail / Conduct regulations) you will:

• Participate in an extensive range of assignments based on global regulatory focus, our growth strategy, personal experience and career aspirations. 
• Critically analyse information and data to identify issues, trends and assess operational effectiveness.
• Prepare recommendations based on regulatory expectations and sound industry practice to remediate non-compliance or operational weaknesses.
• Conduct research and draft advice on regulations across the UK and the Crown Dependencies.
• Draft client deliverables including written reports, ad hoc advice and training materials.
• Contribute to client meetings including preparation and delivery of presentations or fact-finding interviews.
• Support with management of day-to-day client relationships and project management activities.
• Contribute to business development opportunities including proposals, pitches, internal and external publications, client networking events and service offering campaigns.

REQUIREMENTS:

• 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.
• Background in financial services and an interest in / awareness of current issues facing the industry.
• Minimum 3 years’ experience within a UK regulated environment, including in-house compliance roles, consulting or within a financial regulator. 
• Proven regulatory experience and knowledge, in particular around the FCA Handbook (COBS, SYSC, PROD and DISP in particular).
• Demonstrable understanding of existing regulatory expectations in topic areas such as consumer duty, conduct rules, complaints handing, communications/promotions and outsourcing.
• Attention to detail with curious and analytical mind-set. 
• Strong oral and written communication skills, presentational expertise and a focus on excellence in client output.
• Comfortable and effective working with wide groups of stakeholders, from C-suite to functional heads to operational staff, developing strong stakeholder relationships.
• Client facing, solutions focused, individual with ability to work independently and as part of a team. 
• Experienced in Microsoft office, specifically PowerPoint, Word and Excel
• Qualifications such as International Compliance Association (ICA) or Chartered Institute of Securities and Investment (CISI) are beneficial. 

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

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

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