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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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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 19001621 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 team 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.

RESPONSIBILITIES:

As a Senior Associate within an expanding team, you will gain exposure to exciting projects. In addition, your career and development opportunities are unparalleled with exposure to clients from day one. Being part of a specialist group, but within a truly global firm, means your personal impact will be instant and supported by an ambitious full service professional services firm.

As a Senior Associate you will work to:

  • Undertake reviews following a risk based approach, identifying control failings and operational weaknesses across a range of firms
  • Provide on the job and ad hoc advice and support to clients
  • Manage and maintain client relationships
  • Draft reports for firms and international regulators
  • Collate and manipulate data, visualising trends and patterns in performance.
  • Prepare and deliver training sessions both internally and for clients
  • Prepare pitch documents and proposals for potential work
  • Prepare articles and other publications for distribution both internally and externally
  • Deliver on a wide range of engagements, including working in the following areas:
  •  S166
  • AML/Financial Crime
  • Compliance Risk
  • Retail Conduct
  • Due Diligence
  • Governance/SYSC
  • Regulatory readiness
  • Market regulation
  • Conduct of business
  • MiFID II
  • MAR
REQUIREMENTS:
  • We are looking for someone who is passionate, focused, collaborative and entrepreneurial. This role would suit a team player with the ability to use their own initiative and provide prompt practical services to clients.
  • Minimum 4 years’ experience experience in regulation or compliance (for example gained within Consulting, Financial Services Auditing, Asset Management, Banking, Brokers, Investment Banks and the Regulator)
  • Background in financial services and an interest in / awareness of current issues facing the industry
  • Exceptional oral and written communication skills and presentational expertise
  • Comfortable and effective working with wide groups of stakeholders, from C-suite to functional heads to operational staff, developing strong stakeholder relationships
  • Client facing, solutions focused, individual
  • Experienced in Microsoft office, specifically PowerPoint, Word and Excel
  • CISI qualifications would be desirable
  • Preferred 2.1 degree 

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.

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