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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
Managing a team of consultants, each with own client base
Preparing compliance and operational policies and procedures
Setting up the regulatory and governance infrastructure and assisting ongoing monitoring
Undertaking periodic monitoring reviews at client premises
Reporting on findings and providing recommendations for procedural improvements to meet regulatory and best practice requirements
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
Business development with potential clients
Proven experience in a compliance role, for example within a regulator, a regulated firm or a consultancy practice
Detailed understanding of SFC rules and regulations
Ideally detailed understanding of SEC rules and regulations
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 accountancy background would be useful but not required
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.