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Senior Specialist, Risk and Compliance

Job ID 19001299 Chicago, Illinois
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.

We are currently seeking a Risk and Compliance Senior Specialist for our Chicago office.


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:
  • Maintain, implement, and contribute to all aspects of corporate compliance program (data privacy, regulatory compliance, onboarding, training, etc.)
  • Review client and vendor contracts for appropriate risk and compliance provisions, including insurance and data privacy
  • Effecting and managing electronic information barriers to ensure compliance with firm policies
  • Maintenance of the firm records management and retention policy and promoting and ensuring firm compliance
  • Assist with conflicts checks as needed
  • Conduct licensing, registration, and continuing education process for all FINRA associated persons
  • Contribute to monitoring of FINRA branch offices and investment banking transactions and engagements
  • Draft and/or revise risk and compliance policies, procedures, standards, and guidelines
  • Assist with and manage ad hoc risk or compliance projects
  • Other duties as assigned by Chief Compliance Officer or Director of Risk Management
REQUIREMENTS:
  • Excellent interpersonal, written and verbal communication skills
  • Strong attention to detail and analytical skills
  • Knowledge of general corporate compliance
  • 2-3 years in a financial services, legal, compliance, risk, or data governance function.
  • Bachelor's degree required. Legal background or experience a plus.
  • Self-starter who can work independently as well as collaborate with a team.
  • Strong technical knowledge and PC Skills, including intermediate excel skills
  • Knowledge of FINRA and SEC rules as they apply to a broker-dealer, investment advisor, or private equity firm desired
  • Experience with Compliance11 system or comparable platform and FINRA Web CRD system desired
  • Knowledge of data privacy/data security a plus

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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