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
Solid 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 practical
Experience of both UK and US regulation would be useful

📌 Senior Associate, Compliance Consulting Mumbai (India)
🏢 Kroll
📍 India