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Vice President, Compliance Consulting

London, United Kingdom

Success Profile

What makes a successful Compliance and Regulatory Consulting employee at Kroll? Check out the traits we’re looking for and see if you have the right mix.

  • Analytical
  • Detail-oriented
  • Insightful
  • Problem-solver
  • Relationship expertise
  • Deadline oriented

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Career Path

Kroll offers many career paths to support your immediate and future success.

  • Analyst leads to Senior Associate
  • Senior Associate leads to Vice President
  • Vice President leads to Director
  • Director leads to Managing Director
  • Managing Director ends this path

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Employee Testimonials

Simon Appleton
I enjoy working here for many reasons, including the variety of interesting projects we undertake, good communication channels to and from senior management, feeling empowered to help shape the direction of the team strategically and feeling supported by team members who instinctively help each other.

Simon Appleton

Director, Regulatory Consulting, London
Tammy Li
Working at Kroll has the best of everything. You get to work on a diverse portfolio of clients from top tier investment banks to small boutique hedge funds. While Kroll continues to thrive and grow as a global firm, we still manage to retain a strong sense of family and closeness, and the people at Duff & Phelps are truly and genuinely great people to work with.

Tammy Li

Director, Regulatory Consulting, London

Benefits

  • Professional Development

    Ongoing training and development opportunities at all levels of the firm through programs such as Kroll University, The Promote Program and Network of Women.

  • Global Presence

    As a global firm, our benefits vary by country.

  • Amenities

    Our offices around the globe offer easy access to public transportation, dining, shopping, gyms and many other convenient options.

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Description

Job ID 21001374 London, United Kingdom Apply now

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. In this role you will develop a detailed knowledge of both UK and US regulatory requirements and gain exposure to premier alternative investment firms (including hedge funds, private equity, real estate managers, brokers and corporate finance businesses). 

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 managing a portfolio of alternative investment client relationships to ensure they comply with their FCA regulatory requirements.
  • Opportunity to develop SEC and CFTC knowledge and experience
  • Drafting compliance manuals and other compliance documentation for clients (such as MLRO reports, SYSC risk registers, conflicts registers)
  • Establishing and maintaining the compliance infrastructure for clients
  • Undertaking periodic compliance monitoring reviews at client premises
  • Writing compliance monitoring reports
  • Managing regulatory reporting schedules
  • Drafting and/or reviewing FCA Reports and Returns (financial and non-financial)
  • Providing ad hoc regulatory advice and solutions
  • Updating clients on regulatory change
  • Assisting Kroll in updating compliance material to take account of Rule changes
  • Client training opportunities
  • Networking with industry professionals

Requirements:

  • Proven experience in a compliance role either within the FCA, the SEC, or an FCA regulated firm or a consultancy practice.
  • Experience of US regulation would be useful
  • 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

 

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.

Apply now

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