Senior Associate, Compliance and Regulation
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Job Summary
Kroll is looking for a Senior Associate to join our Financial Services Compliance and Regulation practice in the UAE where you will assist asset management investment fintech and other regulated financial institutions by delivering on a wide range of engagements including financial crime governance enterprise and operational risk compliance risk regulatory readiness compliance monitoring and regulatory reporting. You will mainly support clients by acting as an outsourced Compliance Officer (CO) and Money Laundering Reporting Officer (MLRO) for ADGM and DIFC regulated entities managing licensing projects and performing targeted compliance audits and reviews.
Apply now to join One team One Kroll.
Responsibilities
As a Senior Associate within an expanding team you will gain exposure to exciting addition your career and development opportunities are unparalleled with exposure to clients from day one. Being part of a specialist group but within a truly global firm means your personal impact will be instant and supported to carve out a growth path with an attractive compensation package.
As a Senior Associate you will work mainly in Asset management industry to:
- Undertake reviews following a riskbased approach identifying control failings and operational weaknesses across a range of firms.
- Provide onthejob and ad hoc advice and support to clients.
- Draft reports for firms and international regulators.
- Collate and manipulate data visualising trends and patterns in performance.
- Prepare pitch documents and proposals for potential work and engage in business development activities.
- Act as outsourced CO/MLRO/Deputy MLRO for ADGM and DIFC regulated asset management clients including managing AML/CFT frameworks compliance monitoring regulatory filings and ongoing advisory.
- Oversee and update compliance policies procedures risk assessments and monitoring plans for regulated clients.
- Lead or support licensing and authorisation projects for ADGM and DIFC entities including regulatory business plans governance frameworks and regulator engagement.
- Conduct compliance audits AML reviews and gap assessments providing clear findings and remediation recommendations.
- Liaise with regulators (FSRA/DFSA) on behalf of clients ensuring timely and accurate submissions and notifications.
The Ideal Candidate
We are looking for someone who is passionate focused collaborative and entrepreneurial. This role would suit a team player with the ability to use their own initiative and provide prompt practical services to clients.
- Compliance consulting and Financial Services experience.
- 5 years of proven compliance experience within a regulator financial institution or consulting firm.
- Experience acting as or supporting a Compliance Officer or MLRO for a DFSA or FSRA regulated firm is highly advantageous.
- Excellent oral and written communication skills in English.
- Excellent time management and ability to work under pressure.
- Clear and logical reasoning ability to make assessments and articulate them clearly.
- Prior experience in AntiMoney Laundering Operational Risk or Risk Management regulatory projects.
- Prior experience in internal audit roles with exposure to testing controls and systems is a plus.
- Proven regulatory experience and knowledge.
- Qualifications such as International Compliance Association (ICA) Chartered Institute of Securities and Investment (CISI) and ACAMS are beneficial.
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Required Experience:
Senior IC
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
Kroll’s Restructuring Administration practice, formerly Prime Clerk, offers end-to-end restructuring administration services with unrivaled experts and technology. Read more.
