At Kroll, your work will help deliver clarity to our clients' most 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.)

Requirements
- 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 helpful
- Contacts within the UK and overseas investment industry would be useful
- Experience of both UK and US regulation would be useful

📌 Senior Associate, Compliance Consulting (Maharashtra)
🏢 Kroll
📍 Maharashtra