Kroll’s Compliance Consulting practice assists clients in setting up firms, obtaining their initial regulatory authorization or registration, and providing them with ongoing regulatory compliance advice to navigate the rapidly changing regulatory landscape.
Below are the roles and responsibilities for the
Analyst, Compliance Consulting
role based in
Hanoi, Vietnam:
Day- to- day responsibilities:
Assisting with preparing compliance training materials for clients.
Assisting in the setting up of compliance infrastructure and ongoing compliance monitoring, including email reviews and other communication reviews.
Assisting in conducting due diligence reviews along with other thematic reviews.
Providing support in the preparation of compliance manuals and other related policies and procedures.
Assisting the process of managing client’s use of research consultants and expert network providers, which may include sampling and chaperoning calls, identifying any regulatory risks and drafting call report summaries.
Supporting the management of a portfolio of clients regulated by regulators in Hong Kong, Singapore, the United States, and other global regulators.
Managing regulatory filing and reporting schedules.
Providing support on clients’ regulatory filing and reporting across Asia- Pacific.
Supporting APAC licensing applications for financial institutions.
Providing ad hoc regulatory compliance advice and creative solutions.
Drafting and developing compliance monitoring reports / compliance monitoring plans.
Essential traits:
Clear, logical thought processes, ability to make decisions and articulate these clearly
Proven experience in a regulatory / compliance role or audit role, focusing on the financial services industry.
Time management skills and ability to work within deadlines.
Strong English, oral and written communication skills is key. Good business Mandarin communication skills a plus.
General understanding of compliance rules and regulations
Prerequisites
Solution- driven and problem- solving attitude.
Previous experience in audit and/or legal and compliance is a plus.
Driven and able to work both independently in their own initiative and collaboratively as part of a team.
Understanding of the alternative asset management industry.
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