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Duff & Phelps' 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.
At Duff & Phelps, your work will help protect, restore and maximize value for our clients. Join us and together we'll maximize the value of your career.
Managing a portfolio of clients regulated by the SFC, SEC and other global regulators
Preparing compliance manuals and other related policies and procedures
Setting up the compliance infrastructure and assisting ongoing compliance monitoring
Undertaking periodic compliance monitoring reviews at client premises
Writing compliance monitoring reports
Managing regulatory filing and reporting schedules
Providing ad hoc regulatory advice and creative solutions
Updating clients on regulatory change
Networking and relationship building with industry professionals and industry bodies
Proven experience in a compliance role, for example within an SFC regulated firm or a compliance consultancy practice
Detailed understanding of SFC, SEC rules and regulations
Understanding of the financial services industry i.e. asset management and broking sectors
Broad understanding of the alternative asset management industry
Ability to work on own initiative and as part of a team
Client facing, solutions focused skills
Clear, logical thought processes, ability to make decisions and articulate these clearly
Strong English oral and written communication skills
Time management skills and ability to work within deadlines
Solution-driven and problem-solving attitude
Legal or audit background would be useful
In order to be considered for a position at Duff & Phelps, you must formally apply via careers.duffandphelps.jobs
Duff & Phelps is committed to equal opportunity and diversity, and recruits people based on merit.