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Senior Associate, Compliance Consulting

Hong Kong, Hong Kong SAR

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

Simon Appleton
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
Tammy Li
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

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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 19000385 Hong Kong, Hong Kong SAR

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:

  • 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

REQUIREMENTS:

  • 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.

Apply now

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