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Director, Regulatory Consulting

London, United Kingdom

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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  • 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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Job ID 19001622 London, United Kingdom

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’ Regulatory Consulting practice helps firms deliver on a wide range of engagements including financial crime, compliance risk, regulatory readiness, compliance monitoring and regulatory reporting.


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.


As a Director within an expanding team, you will have responsibility for leading assignments while also working with the senior team in defining and developing strategy and long term business plan proposals for the business, with an emphasis on the delivery of services to clients. Being part of a specialist group, but within a truly global firm, means your personal impact will be instant but will be supported by an ambitious full service professional services firm.

  • Responsibility for driving business and product development
  • Overseeing service delivery, client interface, practice management
  • Project managing teams on complex and technical consulting projects across a range of clients
  • Liaising with industry bodies and regulators
  • Forming deep contacts in the industry and networking with the aim to grow the practice
  • Providing ad hoc regulatory advice and solutions in your subject matter
  • Updating clients and internal teams on regulatory change including running internal and external training courses and drafting articles for various publications
  • Continuous monitoring of regulatory change and ensuring the team’s knowledge is kept up to date


  • Significant experience either within a UK regulatory body (e.g. FCA, PRA, FOS), a financial services firm, or professional services firm providing regulatory consulting services.
  • Proven experience in the understanding and interpretation of regulation across the financial services sector, with deep knowledge of certain areas of financial services (e.g. Banking, Insurance, Funds)
  • An appreciation of the impact of regulatory changes, risk based approached and current matters facing the industry including for example; MiFID II, 4th MLD, SMCR
  • Implementation and application of practical and risk-based solutions to address regulatory requirements
  • Experience of design and implementation of Risk Management Frameworks
  • Knowledge and experience of Governance design and implementation; experience of working with Board level clients
  • Proven ability to lead and motivate a team
  • Client facing, solutions focused, individual
  • Clear, logical thought process, ability to arrive at and make decisions and articulate these clearly.  Ability to argue rationale for decisions
  • Exceptional oral and written communication skills and presentational expertise
  • Excellent time management and ability to work under pressure
  • Ability to travel at short notice
  • Strong interpersonal skills
  • Proven track record of people management

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

Duff & Phelps is committed to equal opportunity and diversity, and recruits people based on merit.

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