Vice President, Compliance Consulting
Kroll · Mumbai
Kroll is looking for a Vice President to join our financial services compliance and regulation practice in Mumbai where you will assist banking, asset management, investment and other regulated financial institutions by delivering on a wide range of engagements including financial crime, governance, enterprise and operational risk, compliance risk, regulatory readiness, compliance monitoring and regulatory reporting.
RESPONSIBILITIES:
As a Vice President 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 by an ambitious full service professional services firm.
As a Vice President you will work to:
- Undertake and lead areas of a project to identify regulatory risks, opportunities for enhancements, control failings and operational weaknesses across a range of firms
- Undertake client remediation and support projects, and provide on the job and ad hoc advice to clients across a range of regulatory risk areas
- Manage and maintain excellent client relationships, contributing to sales processes and identifying new opportunities
- Manage client engagements, project teams and delivery risks, ensuring that requirements are met and effectively delivered to scope and budget
- Deliver excellent quality reports and deliverables for firms and international regulators
- Collate and manipulate data, visualizing trends and patterns in performance
- Prepare and deliver training sessions both internally and for clients
- Prepare pitch documents and proposals for potential work and engage in Business Development activities
- Prepare articles and other publications for distribution both internally and externally, identifying opportunities to engage with the market
- Manage IP and identify opportunities for process enhancements
- Promote an environment which fosters collaboration and teamwork
- Coach and mentor more junior staff
- Research industry trends and regulatory developments, maintaining a deep level of regulatory technical expertise
You will deliver on a wide range of engagements, including Skilled Person Reviews, risk and compliance health-checks and assurance reviews, and wider projects across a wide-range of potential topics including (depending on experience):
- Regulatory Risk
- AML / Financial Crime
- Enterprise and Operational Risk Management
- Market Abuse, surveillance and trading controls
- Regulatory Reporting
- Consumer Protection
- Governance
- Regulatory readiness
- Regulatory Gap Assessment
REQUIREMENTS:
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
- Banking and financial services
- 6-10 years’ experience working for a regulator, financial institution or consulting firm
- Big 6 experience is a plus
- Excellent oral and written communication skills in English.
- Background in financial services and an interest in / awareness of current issues facing the industry
- Experience with dealing with financial services regulations
- Prior experience in Anti-Money Laundering, Operational Risk or Risk Management regulatory projects is a plus
- Prior experience in internal audit roles with exposure to testing controls and systems is a plus
Exposure to working with UAE licensed financial institutions or UAE regulations is a plus
- Excellent time management and ability to work under pressure
- Clear and logical reasoning ability to make assessments and articulate them clearly
- Comfortable and effective working with wide groups of stakeholders, from C-suite to functional heads to operational staff, developing strong stakeholder relationships
- Experienced in Microsoft office, specifically PowerPoint, Word and Excel. Experience with other applications such as Power BI, and/or industry risk management and compliance systems would be a plus but not essential.
Qualifications such as International Compliance Association (ICA), Chartered Institute of Securities and Investment (CISI), and ACAMS are beneficial.
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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