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Conducting Officer, Compliance and MLRO

Luxembourg, Luxembourg

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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Job ID 20000485 Luxembourg, Luxembourg
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.
We are looking for a Conducting Officer of Compliance and MLRO to join our fast-growing, dynamic and entrepreneurial 3rd party Management Company (UCITS/AIFM) based in Luxembourg. The purpose of the role is to ensure that the Luxembourg based Management Company and the funds are fully compliant to all the relevant rules and regulations. The Conducting Officer in charge of Compliance will be a member of the Management Committee and reports to the Board. The Conducting Officer will also act as MLRO for the Management Company and the funds that we manage. If you are not already a Conducting Officer, then we will expect you to become one when you join. We are looking for someone with proven leadership skills, who is empathetic, collaborative and results driven. This role would suit an agile and dynamic leader with excellent communication and listening skills
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.
  • Monitor compliance of the Management Company/AIFMs with the relevant rules, regulations and CSSF circulars (e.g. 18/698) and assess the appropriateness of internal policies, procedures and guidelines, make recommendations for amendments and perform regular and comprehensive compliance related risks assessments and testing,
  • Be the appropriate internal control function and recommend corrective measures, ensure a follow-up of identified deficiencies/issues, supervise their implementation and ensure that corrective measures have proven to be efficient,
  • Fulfil notification requirements with the CSSF on compliance matters and exercise any specific responsibilities such as reporting suspicious transactions related to money laundering and the fight against terrorism financing,
  • Maintain and update compliance policies, procedures, compliance monitoring plan, AML policies etc.
  • As a part of the Conducting Officers team, report to the Board on regular basis as well on issues and deficiencies observed as regards procedures and policies as well as any measure taken
  • Assist in the preparation of the board reports specifically covering the compliance and MLRO part for both the Manco. and the funds under supervision
  • Work collegially with other Conducting Officers and fulfil specific roles and responsibility of the Compliance Function and MLRO,
  • Act as the Money Laundering Reporting Officer and prevent terrorism financing, which will include:
    • AML Due Diligence oversight monitoring on delegates
    • AML/KYC on new clients, delegates
    • monitoring of blacklist filtering
    • generally, ensuring of all the applicable measures
  • Perform oversight on TA delegates including onsite visits, specific testing, regulator monitoring etc.
  • Perform necessary AML checks on new delegates
  • Provide compliance and MLRO related updates to the Management Committee and Board of Director meetings for both the Manco. and funds under supervision,
  • Manage ad-hoc Compliance projects,
  • Ensure smooth relationship with supervisory authority and auditors,
  • Formalize and strengthen the company’s procedures to constantly improve operational effectiveness,
  • Advise the team on developments on laws, regulation, rules and standards which might have an impact on the company,
  • Be responsible for managing the team and oversee the daily activities,
  • Ensure, collegially and as a member of the Conducting Officers team, adherence to legal and regulatory requirements,
  • Provide compliance related guidance and advice to the broader Duff & Phelps group as necessary and handle Luxembourg specific queries and questions,
  • Liaise with group compliance colleagues, especially The Chief compliance officer for Europe and Asia to ensure global consistency where possible and the Lux offices adherence to the wider group’s compliance policies Take ownership and bring a strong compliance expertise to the office.
  • University degree in finance or economics or relevant business experience
  • Strong knowledge of the Fund Services business and processes
  • Minimum 10 years of hands-on experience as a Compliance Officer, preferably within a Management Company.
  • Excellent knowledge of regulatory environment, including UCITS and AIFMD regulations, CSSF circulars, AML directives, FATCA/CRS etc.
  • Direct experience dealing with the CSSF, Fund Admins, transfer agents,
  • Good command of Excel, Word and excellent PowerPoint   
  • Solution-driven and results-oriented, problem solving attitude, constructive mindset
  • Ability to manage multiple projects on various time scales, strong follow-up, prioritization and a team player  
  • Proven experience and appetite to deploy concepts and ideas in practice
  • The ability and desire to create a strong compliance culture
  • Curiosity and eagerness to learn
  • Fluency in English, any additional European language will be an advantage
Additionally the following skills would be a desirable:
  • Experience in a Management Company will be considered a significant asset
  • Previous approval as a Conducting Officer will be an advantage
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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