Senior Associate, Compliance Consulting - Hanoi, Việt Nam - Kroll

Kroll
Kroll
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Hanoi, Việt Nam

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Đức Nguyễn

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Đức Nguyễn

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Senior Associate, Compliance Consulting, Hanoi, Vietnam


In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens.

Paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another.

As part of _One team, One Kroll_, you'll contribute to a supportive and collaborative work environment that empowers you to excel.


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.


RESPONSIBILITIES:


  • Supporting the management of a portfolio of clients regulated by regulators in Hong Kong, Singapore, the United States and other global regulators
  • Providing support on the preparation of compliance manuals and other related regulatory policies and procedures
  • Assisting in conducting due diligence reviews
  • 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
  • Providing support on clients' regulatory filing and reporting across Asia-Pacific
  • Providing ad hoc regulatory compliance advice and creative solutions
  • Drafting and developing compliance monitoring reports / compliance monitoring plans
  • Managing regulatory filing and reporting schedules

REQUIREMENTS:


  • Proven experience in a regulatory / compliance role or audit role, focusing on the financial services industry
  • General understanding of compliance rules and regulations
  • Ability to work on own initiative and as part of a team
  • Clear, logical thought processes, ability to make decisions and articulate these clearly
  • Strong English, oral and written communication skills, Mandarin is a plus to liaise with Mandarin speaking associates but not a prerequisite.
  • Time management skills and ability to work within deadlines
  • Solutiondriven and problemsolving attitude
  • Broad understanding of the alternative asset management industry
Kroll is committed to equal opportunity and diversity, and recruits people based on merit.

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