Details of the Organization

As the leading independent provider of risk and financial advisory solutions, Kroll leverages their unique insights, data, and technology to help clients stay ahead of complex demands. Kroll's team of more than 6,500 professionals worldwide continues the firm’s nearly 100-year history of trusted expertise spanning risk, governance, transactions, and valuation.

Details of the Job/Internship

Kroll is hiring for the position of Senior Associate/Compliance Consulting to join them in Mumbai office. 

Role and 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 clients’ compliance 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.).

Eligibility

• 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.

Salary/Stipend

Compensation details will be finalized during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

State

Maharashtra

City

Mumbai

Address

Mumbai, India

Application and Registration Details

After you apply, you will receive the next steps of the application process via email. 

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For any questions or concerns, please contact us via email at: [email protected]