Senior Associate, US Compliance Consulting
Kroll · Mumbai · onsite · Posted 52d ago
Undisclosed2–6 yrsfulltimeSourced from
About a minute. You'll make an account on the way through.
About this role
Job Summary
At Kroll, your work will help deliver clarity to our clientsmost complex governance, risk, and transparency challenges.
Responsibilities - Responsible for supporting UK-based compliance consulting team managing a portfolio of client relationships
- Drafting and updating compliance manuals and other compliance documentation for clients
- Setting up clientscompliance infrastructure
- Undertaking periodic compliance monitoring reviews and compliance testing
- Writing compliance monitoring reports
- Managing regulatory reporting schedules and compliance calendars
- Drafting and/or reviewing FCA Reports and Returns (financial and non-financial) and SEC filings
- Providing ad hoc regulatory advice
- Performing financial promotions and marketing material reviews
- Managing compliance processes for clients, using proprietary or third-party compliance systems as necessary
- Drafting regulatory notifications and applications (e.g. FCA approved person forms, Appointed Representative applications, Authorisation applications, SEC Form ADV etc.)
- Proven experience in a compliance role within the FCA/SEC, an FCA/SEC regulated firm/group or a consultancy practice.
- Knowledge and understanding of the FCA/SEC rules and regulations and global compliance standards
- 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
- Experience of both UK and US regulation would be useful
Sourced from naukri
Skills
Compliance Testinganalytical thinkingInvestment managementArticulateCompliance MonitoringUs ComplianceRegulatory ReportingCommunication Skillstime managementBrokingLegalcompliancemarketing
About Kroll
Kroll
Financial Services
1.0k+
employees
1932
94 years old
New York, New York
US
About
Kroll provides proprietary data, technology and insights to help its clients stay ahead of complex demands related to risk, governance and growth.
Industries
Financial ServicesAdvertising / PR / Events
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