Senior Associate, Regulatory Consulting
Kroll · Hong Kong · 3mo ago
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 a Senior Associate you will embody drive, embrace change and take risks. You will be innovative and solve problems in our Compliance Consulting business.
RESPONSIBILITIES:
As a Senior Associate you will take risks and solve problems. You will display leadership and influence others in our Compliance Consulting business.
Assist the Senior Vice President in the planning and completion of audit engagements and other regulatory compliance projects for asset managers and other financial institutions
Prepare and refine audit procedures for the conduct of audit engagements/projects across Asia-Pacific
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
Develop and maintain professional working relationships with clients (primarily hedge funds, private equity, venture capital and alternative asset managers)
Networking and relationship building with industry professionals and industry bodies
Reporting on findings and providing recommendations for procedural improvements to meet regulatory and best practice requirements
Managing regulatory filing and reporting schedules
Providing ad hoc regulatory advice and creative solutions
REQUIREMENTS:
Minimum 3 years of experience in audit or compliance role focusing on the asset management industry
- Audit background within Financial Services or Asset and Wealth Management would be highly desirable
- Experience in SFC FRR reporting, regulatory compliance, or audit/advisory for licensed corporations (Big 4, consulting, or in-house at a licensed corporation preferred)
Detailed understanding of SFC rules and regulations (including FMCC and MIC)
Broad understanding of the alternative asset management industry
Strong English oral and written communication skills
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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