Senior Associate, Compliance and Regulation

Overview

Senior Associate

One team, One Kroll

Responsibilities

• As a Senior Associate within an expanding team, you will gain exposure to exciting projects.
• In 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 risk‑based approach, identifying control failings and operational weaknesses across a range of firms.
• Provide on‑the‑job 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 Anti‑Money 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.