Analyst Financial Services Compliance and Regulation London 2024

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.

Our Financial Services Compliance and Regulation practice help firms to build, manage and protect their business in an ever-changing regulatory environment through a wide range of consulting, advisory and outsourcing services. Our multi-disciplinary team assists with and advises on the design, development, implementation and remediation of regulatory compliance, governance and risk programs. We also provide global registration/authorisation assistance, regulatory advice, investigations and regulators’ and commission reviews, M&A regulatory and operational due diligence, risk management, compliance secondments and a regulatory host to allow start-ups to achieve rapid launch whilst maintaining compliance. We focus on a range of matters including financial crime, compliance risk management, prudential matters, compliance monitoring and regulatory reporting. Projects can be large one-off engagements or ongoing retained services.

The role

In this role you will develop a detailed knowledge of both UK and US regulatory requirements and gain exposure a wide range of financial services firms. Kroll operates in the wholesale sector supporting investment managers, brokers and corporate finance advises as well as the retail sector supporting banks, mortgage lenders and more.

At Kroll, your work will help deliver clarity to our clients’ most complex governance, risk, and compliance challenges helping firms to succeed, protect client interests and contribute to market integrity and transparency. Apply now to join One team, One Kroll.

Responsibilities:

• Participate in a range of regulatory projects which may include financial crime/AML advisory projects, compliance, risk management and governance reviews, skilled person reviews, regulatory due diligence reviews and more
• Support our retained clients through compliance monitoring visits, creating client reports and advising firms how regulations apply to and impact their business
• Assisting in the submission of regulatory applications to the FCA, SEC and CFTC
• Onboarding clients to our regulatory hosting business through review of their business models and undertaking background checks
• Conduct research and draft advice on UK and other applicable regulations
• Support with management of day-to-day client relationships and project management activities
• Training in regulations applicable to the UK regulatory environment, and more globally when required
• Developing and tailoring compliance manuals and other compliance documentation for clients
• Establishing clients’ compliance infrastructure
• Potential for secondments and project work with clients
• Managing internal regulatory reporting schedules
• Attendance at internal and external seminars, developing you networking skills

Requirements

• Minimum 2.1 degree from a top university, ideally in a related degree such as economics, business studies, mathematics, law etc.
• A clear and demonstrable interest in/awareness of current issues facing the financial services industry
• Strong oral and written communication skills with experience presenting
• Collaborative and cooperative working style with the ability to work within a range of team sizes
• Enthusiasm, drive and flexibility
• Ability to prioritise and juggle conflicting tasks successfully, responding positively to pressure
• Strong, diligent work ethic and attention to detail and judgement focused decision making
• Intellectually rigorous and curious with a demonstrated growth mindset
• A customer-focused mindset, willing to understand and deliver on client needs

Kroll is committed to equal opportunity and diversity, and recruits people based on merit.