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Senior Associate, Regulatory Consulting

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
  • Detail-oriented
  • Insightful
  • Problem-solver
  • Relationship expertise
  • Deadline oriented

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Career Path

Duff & Phelps offers many career paths to support your immediate and future success.

  • Analyst leads to Senior Associate
  • Senior Associate leads to Vice President
  • Vice President leads to Director
  • Director leads to Managing Director
  • Managing Director ends this path

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Employee Testimonials

Simon Appleton
I enjoy working here 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 who instinctively help each other.
Simon Appleton
Director, Regulatory Consulting,
London
Tammy Li
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. While 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

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 20001251 Luxembourg, Luxembourg Apply now

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.

We are looking for a Senior Associate – Compliance/AML/KYC to join our fast-growing, dynamic and entrepreneurial 3rd party Management Company (UCITS/AIFM) based in Luxembourg. We are looking for someone with proven Compliance skills working on Luxembourg third party Management Company/AIFM, 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. Join our team and together we'll power the sound decisions that enhance value - yours and ours.

 
RESPONSIBILITIES:

  • Your responsibilities will be to perform regular, focused on operational Compliance/AML/KYC plan to identify and analyze D&P clients;
  • Performance Compliance/AML/KYC initial and ongoing checks (sampling, testing, assessing compliance with regulatory requirements and internal policies and assessing whether market best practices are carried out);
  • You will perform regular review of various Clients, and make sure they are compliant with current rules and regulations;
  • Perform internal checks and make sure verifications and reports are compliant across all part of the business during onboarding New Clients. Detect gaps and suggest improvements;
  • Review AML/KYC documentation; following the current Market trends and Regulations
  • Work alongside the Chief Compliance Officer, other teams to conduct thorough analysis on detected issues and assess the risks;
  • Prepare documentation, reports on findings and keep record and files in efficient form;
  • Serve as a resource on process projects and initiatives to ensure that effective controls are developed and properly documented;
  • Outline the process gaps and control implications to comply with established policies and procedures;
  • Work with functional/business users to finalize controls;
REQUIREMENTS:
  • University degree, preferably in finance, economics, law, or relevant business experience
  • Between 3 - 5 years’ Compliance/AML/KYC experience, ideally gained in Management Company/AIFM or Transfer Agent
  • Demonstrable experience of performing Compliance/AML/KYC checks in Management Company/AIFM or Transfer Agents
  • You have good knowledge of AIFMD, UCITS, CSSF 18/698, AML/CTF and other relevant rules and regulations
  • Good command of Excel, Word and excellent PowerPoint
  • Solution-driven and results-oriented, problem solving attitude, constructive Client oriented mindset
  • Ability to manage multiple projects on various time scales, strong follow-up and client servicing qualities
  • Curiosity, eagerness to learn and highly oriented on details.
  • Fluency in English + preferably French and/or German
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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