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.

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 client relationshipsDrafting compliance manuals and other compliance documentation for clients (such as Compliance Officer and MLRO reports, SYSC risk registers, conflicts registers)Setting up the compliance infrastructure for clientsUndertaking periodic compliance monitoring reviews at client premises or remotelyWriting compliance monitoring reportsManaging regulatory reporting schedulesDrafting and/or reviewing FCA Reports and Returns (both financial and non-financial returns)Providing pragmatic regulatory advice and solutions to clientsUpdating and advising clients on regulatory change and developmentsUpdating compliance material to take account of rule changesDrafting regulatory articles and client alertsNetworking with industry professionals

REQUIREMENTS:

Proven experience in a compliance or regulatory role within the FCA, an FCA regulated firm or a consultancy practice.Detailed knowledge and understanding of the FCA Handbook and UK legislative frameworkDetailed knowledge of the investment management and broking sectorsBroad understanding of the alternative investment industryAbility to work on own initiative and as part of a teamClient facing, solutions focused skillsClear, logical thought processes, ability to make decisions and articulate these clearlyStrong oral and written communication skillsTime management and ability to work under pressureLegal or audit background would be usefulContacts within the UK and overseas investment industry would be usefulExperience of US regulation would be useful

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