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Senior Associate, 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 19001256 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.

  • You will be working within our Regulatory Consulting team, undertaking assignments with a wide range of clients in the financial sector delivering effective solutions to the regulatory and operational challenges faced by the industry.  Although the role is predominantly focused on MiFIR Transaction Reporting, you will also have the opportunity to get involved with other Capital Markets-related work, including other regulatory reporting regimes, market conduct and market abuse reviews
  • Our MiFIR regulatory reporting team is widely regarded as one of the best in the market, having an excellent reputation with clients, ARMs and the regulator
  • In relation to MiFIR Transaction Reporting you will work to:
  • Assist clients with analysing the impact of MiFIR Transaction Reporting obligations on their business and helping them prepare appropriately
  • Conduct MiFIR Transaction Reporting reviews to identify control failings and operational weaknesses for a wide range of financial sector clients, including investment banks, brokers, asset managers, wealth managers and trading venues
  • Conduct front to back scenario-based accuracy testing of Transaction Reports submitted by clients
  • Advise and develop robust Transaction Reporting control frameworks including effective reconciliation, exception handling, management information, static data and change management processes
  • Devise effective and transparent governance arrangements, including how to apportion responsibility and accountability for Transaction Reporting
  • Develop comprehensive Transaction Reporting policy and procedural documentation
  • Provide technical and operational advice to clients in relation to Transaction Reporting, as well as tailored training
  • Manage and maintain client relationships
  • Draft reports for firms and regulators
  • Prepare pitch documents and proposals for potential work
  • Prepare articles and other publications for distribution both internally and externally
  • We are looking for candidates with experience and a practical understanding of MiFIR transaction reporting, gained within a regulator, a regulated firm or another professional services firm
  • Candidates are also likely to possess some or all of the following: 
  • Experience of the financial services industry working in compliance, market regulation or policy development (for example gained within consulting firms, asset managers, brokers, investment banking or regulatory bodies).  This may include:
  • Knowledge of compliance monitoring, regulatory reporting, market abuse detection or conduct of business oversight; and .
  • An understanding of equity, fixed income or derivative markets, including knowledge of MIFID II and MAR; and
  • Strong communication skills
  • Driven and motivated to succeed
  • Good client service skills and an ability to manage senior stakeholders
  • Strong technical writing and reporting skills
  • Experienced in Microsoft office, specifically PowerPoint, Word and Excel
  • Ability to work both in a team environment and autonomously
  • Ability to work well under pressure and to tight deadlines

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.

Apply now

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