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Vice President, 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

News

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Benefits

  • Healthcare

    Offering great coverage for medical, dental, vision, and more

  • Education Assistance

    We encourage and aid in the continued education and development of our employees

  • Paid Time-off

    Paid vacation, sick time and holidays/personal days

  • Global Presence

    As a global firm, our benefits vary by Country

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Description

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.


RESPONSIBILITIES:
  • 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
  • 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:
    • Operational Due Diligence
    • S166
    • AML/Financial Crime
    • Compliance Risk
    • Retail Conduct
    • Governance/SYSC
REQUIREMENTS:
  • Strong communication skills, both verbally and orally
  • Operational Due Diligence experience (for example gained through having conducted ODD reviews of investment management firms, covering a range of investment strategies)
  • Financial services/compliance experience (for example gained within Asset Management, Banking, Brokers, Investment Banks)
  • Driven and motivated individual
  • 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
  • Background in financial services and an interest in / awareness of current issues facing the industry
  • A second language would be desirable
  • CISI qualifications

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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