Senior Associate, Regulatory Consulting

We are looking for a Senior Associate to support our Trade and Transaction Reporting team within our Regulatory Consulting practice. We provide comprehensive support for our clients including performing quality assurance reviews and remediation projects across a range of investment firms such as investment banks, asset managers, wealth management firms, inter-dealer brokers and spread betting firms. Come aboard and become a key player in supporting our clients!

RESPONSIBILITIES:

• Providing regulatory reporting support for regimes such as MiFIR, EMIR Refit, SFTR, ASIC, MAS, CFTC and HKMA
• Assist in performing trade and transaction reporting accuracy and completeness reviews
• Drafting targeted documentation for clients (manuals and procedures, templates, etc)
• Maintaining client relationships
• Preparing regulatory reporting training sessions both internally and for clients
• Preparing pitch documents and proposals for potential work
• Preparing articles and other publications for distribution both internally and externally
• Willing to work on other projects as required

REQUIREMENTS:

• 2-5 years’ experience either within Buy-side or Sell-side firms, Exchange/MTF, or a professional services firm.
• Proven experience in the understanding and interpretation of reporting frameworks such as MiFIR and EMIR within the investment banking / investment management industry and the implementation of solutions to address regulatory requirements.
• Knowledge of reporting requirements.
• Client-facing, solutions focused, individual.
• Team player with the ability to use own initiative and provide prompt practical services to clients.
• Clear, logical thought process, able to arrive at and make decisions and articulate these clearly.
• Strong oral and written communication skills
• Broader knowledge and experience of capital markets, products and trading (Desired).

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.

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