RESPONSIBILITIES:
As a Vice President (Retail) 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 Vice President, focusing on the Retail sector, you will work to:
- Undertake reviews following a risk-based approach, identifying control failings and operational weaknesses across a range of firms.
- Provide on the job and ad hoc advice and support to clients.
- Manage and maintain client relationships.
- Draft reports for firms and international regulators.
- Collate and manipulate data, visualising trends and patterns in performance.
- Prepare and deliver training sessions both internally and for clients.
- Prepare pitch documents and proposals for potential work.
- Prepare articles and other publications for distribution both internally and externally.
Deliver on a wide range of engagements, including Skilled Person Reviews (s.166s), regulatory due diligence as part of M&A activity, past business reviews, and wider projects across a wide-range of potential topics including:
- Consumer Duty
- COBS (including suitability of investment advice)
- CONC
- PROD
- DISP
- Retail Conduct
- Governance/SYSC
- Regulatory readiness
- MiFID II
- Operational resilience
- AML / Financial Crime
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.
- 6-10 years’ experience in regulation or compliance in the UK regulated environment (for example, gained within Consulting, Wealth Management, Banking, Investment Banks, the FCA, etc).
- Background in financial services and an interest in / awareness of current issues facing the industry.
- Proven regulatory experience and knowledge, in particular around the FCA Handbook (COBS, SYSC, PROD and the Consumer Duty in particular).
- Exceptional oral and written communication skills and presentational expertise.
- 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.
- Experienced in Microsoft office, specifically PowerPoint, Word and Excel.
- CISI qualifications (or equivalent) would be desirable.
Kroll’s Regulatory consulting team helps firms deliver on a wide range of engagements including financial crime, compliance risk, regulatory readiness, compliance monitoring and regulatory reporting.
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.
#LI-Hybrid
#LI-JC
