Senior Associate, Compliance Consulting

Duff & Phelps New York , NY 10007

Posted 3 months ago

  • Success Profile

  • News

  • Benefits

  • Description

Success Profile

What makes a successful Compliance and Regulatory Consulting employee at Duff & Phelps? Check out the traits we're looking for and see if you have the right mix.

  • Analytical 9
  • Communicator 8
  • Organized 8
  • Results-driven 7
  • Detail-oriented 7
  • Innovation 6

Traits are on a scale of 0 to 10

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Employee Testimonials

I have enjoyed the last seven years working at Duff & Phelps and previously Kinetic Partners for many reasons including the variety of interesting projects we undertake, good communication channels to and from senior management, feeling empowered to help shape the direction of the team strategically and feeling supported by team members that instinctively help each other. Helping a broad range of clients is particularly rewarding and the nature of the role means that I'm always learning and meeting new people.

Simon Appleton Director, Regulatory Consulting, London

Having worked in a Big 4 and Global Investment bank previously, to me, working at Duff & Phelps has the best of everything. You get to work on a diverse portfolio of clients from top tier investment banks to small boutique hedge funds. You have greater responsibility and ownership compared to a larger firm given our relatively flat structure and immense trust in our team members. But most importantly, whilst Duff & Phelps continues to thrive and grow as a global firm, we still manage to retain a strong sense of family and closeness and the people at Duff & Phelps are truly and genuinely great people to work with.

Tammy Li Director, Regulatory Consulting, London

News

  • Explore our findings and navigate the regulatory and financial services developments taking place in 2018.

Learn More

  • Duff & Phelps professionals are leaders within their respective fields and frequently publish materials and contribute to third party reports.

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Benefits

  • Professional Development

Ongoing training and development opportunities at all levels of the firm through programs such as Duff & Phelps University, The Promote Program and Network of Women.

  • Global Presence

As a global firm, our benefits vary by country.

  • Amenities

Our offices around the globe offer easy access to public transportation, dining, shopping, gyms and many other convenient options.

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Description

Job ID 19000886 New York, New York

Our professionals balance analytical skills, deep market insight and independence to deliver solid, defensible analysis and practical advice to our clients. As an organization, we think globally. We create transparency in an opaque world, and we encourage our people to do the same. That means when you take your place on our team, you'll discover a supportive and collaborative work environment that empowers you to excel. If you're ready to share your perspective with the world, then you can make a real impact here. This is the Duff & Phelps difference.

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.

RESPONSIBILITIES:

  • Provide day-to-day support in the development, implementation and maintenance of compliance programs for a variety of registered investment advisers, including but not limited to:

  • Development and implementation of compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm's regulatory requirements

  • Conduct annual compliance reviews;

  • Prepare and deliver compliance training;

  • Prepare and submit annual and quarterly regulatory filings;

  • Monitor employee personal trading and electronic communications;

  • Prepare and maintain employee disclosure forms and assist client in organization and maintenance required books and records;

  • Continuously monitor relevant regulatory changes and assist clients in developing internal controls, accordingly.

  • Register clients as investment advisers with the appropriate regulatory bodies;

  • Assist in conducting mock regulatory exams;

  • Assist in providing SEC exam support;

  • Proactively provide practical, business friendly solutions for esoteric regulatory issues.

REQUIREMENTS:

  • Undergraduate degree required

  • 5 years business related experience; Knowledge of the Commodity Exchange Act (CEA) and the rules of the National Futures Association is a plus

  • Excellent written and verbal communication skills;

  • Thorough understanding of, and experience with, compliance program development and maintenance

  • Strong, independent self starter, as well as collaborative problem solver;

  • Strong research skills;

  • Ability to multi-task across a range of projects with constantly shifting priorities

In order to be considered for a position at Duff & Phelps, you must formally apply via careers.duffandphelps.jobs

Duff & Phelps is committed to providing equal opportunities in employment. We will not discriminate between applications for reason of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status, age or disability.


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Senior Associate, Compliance Consulting

Duff & Phelps