BACKGROUND

Kroll Securities Limited (“Kroll”) is authorised and regulated by the UK Financial Conduct Authority (“FCA”) and operates a Regulatory Hosting Solution (“RHS”) acting as Principal firm to third-party Appointed Representatives (“ARs”). We are looking for an experienced individual to support the day-to-day operations of the RHS. 

RESPONSIBILITIES

Ongoing monitoring/onboarding of ARs:

·       Managing a portfolio of AR relationships.

·       Responsibility for ongoing onboarding and ongoing relationship management of ARs on Kroll’s RHS platform.

·       Developing and constantly enhancing compliance monitoring/testing plans and risk assessments of Ars.

·       Leading on thematic and deep-dive reviews of Ars.

·   Setting up and maintaining compliance infrastructure of ARs (e.g. drafting and regularly updating compliance manuals and other compliance documentation).

·       Undertaking periodic compliance monitoring reviews remotely and at AR premises.

·       Writing and reviewing compliance monitoring reports and other compliance records.

Supporting RHS team operations:

·       Assisting Kroll central Compliance and Finance functions with drafting and reviewing FCA Reports and Returns (financial and non-financial).

·       Advising the RHS team and ARs on day-to-day compliance matters, e.g. client categorisation or KYC queries, financial promotions reviews, and other matters.

·       Designing and delivering relevant training to ARs and RHS staff.

·       Updating policies and procedures to take account of rule changes.

·       Producing management information and reports for review by Kroll’s Senior Management and Compliance Officer.

·       Contributing to the roll out of compliance monitoring technology and monitoring tools.

Client service and growth:

·       Ensure adherence with client servicing standards and exceptional client service focus.

·       Contribute to business development initiatives to drive growth of the RHS platform.

·       Be involved in meetings with prospective ARs and client pitches.

·       Manage relationships with external stakeholders (e.g. law firms, fund administrators and other service providers).

REQUIREMENTS:

·       Proven experience in a compliance role within the FCA, an FCA regulated firm or a consultancy practice (ideally with a focus on regulatory hosting).

·       Good knowledge and understanding of the FCA Handbook and in particular the requirements applicable to Principal firms and Ars.

·       Good knowledge of the alternatives investment industry (with particular focus on Private Markets).

·       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.

·       Contacts within the UK and overseas investment industry would be useful.

About Kroll

Join the global leader in risk and financial advisory solutions—Kroll. With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. As a part of One Team, One Kroll, you'll contribute to a collaborative and empowering environment, propelling your career to new heights. Ready to build, protect, restore and maximize our clients’ value? Your journey begins with Kroll.

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

In order to be considered for a position, you must formally apply via careers.kroll.com.

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