Kroll’s Compliance Consulting practice assists clients in setting up firms, obtaining their initial authorization or registration, and providing them with ongoing compliance advice to navigate the rapidly changing regulatory landscape. As an Analyst you will embody drive, embrace change and take risks. You will be innovative and solve problems in our Compliance Consulting business.

Day-to-day responsibilities: 

• Managing a portfolio of clients regulated by the SFC and other global regulators
• Drafting compliance manuals and other compliance documentation for clients
• Establishing and maintaining the compliance infrastructure for clients
• Undertaking periodic compliance monitoring reviews at client premises
• Prepare and refine audit procedures for the conduct of audit engagements/projects across APAC
• Execute audit procedures to assess, design and operating effectiveness of internal controls
• Prepare written audit reports by drafting audit issues and recommendations on the review results of audit engagements/projects
• Drafting and/or reviewing regulatory reports and returns

Essential traits: 

• Proven experience in a compliance role, for example within an SFC regulated firm or a compliance consultancy practice
• Good understanding of the financial services industry i.e. asset management and broking sectors 
• Strong English oral and written communication skills
• Risk tolerant and comfortable in a rapidly changing environment 
• Legal or audit background would be useful
• Excellent written and verbal communication skills that help represent diverse communities

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