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Analyst, Compliance Consulting

Mumbai, India

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.

 

We are looking for an Analyst to be an essential part of the team assisting the Compliance & Regulatory Consulting practice to manage and perform client electronic surveillance monitoring.

We are looking for bright, innovative individuals to be part of a growing team, individuals that have initiative and who will relish taking on responsibility. This role would suit someone proactive, who thrives in a fast-paced environment, and enjoys multitasking.

 

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:

  • Closely coordinate with the US Compliance & Regulatory Consulting practice to manage and perform various ongoing SEC compliance support services on behalf of its clients (primarily hedge funds and private equity funds)

  • Assist in managing and monitoring various personal trading platforms on behalf of CRC clients

  • Review and provide compliance comments to marketing materials, including investor letters, DDQs and presentations

  • Proactively monitor and report on potential electronic communication compliance violations

  • Work closely with external vendors to troubleshoot and escalate critical systems issues

  • Actively monitor and report on potential electronic communication compliance violations

  • Prepare employee training slides based on policies and procedures as well as SEC / FINRA / NFA recent developments

  • Stay abreast of SEC guidance regarding regulatory changes and guidance regarding electronic communications and surveillance systems

  • Draft updates to client Form ADV registration materials

  • Prepare Compliance Manuals and Code of Ethics for clients that are designed to satisfy SEC rules and regulations

  • Experience advising hedge funds and private equity funds is a plus

Requirements:

  • Bachelor's or master’s degree in Commerce, Accounting, Business Administration or Management (with a concentration in Accounting, Economics or Finance) from an accredited university or college.

  • Proven 2-5 years of work experience in a compliance role.

  • Ability to work on own initiative and as part of a team

  • Client facing, solutions focused skills

  • Clear, logical thought processes, ability to make decisions and articulate these clearly

  • Strong English oral and written communication skills

  • Time management skills and ability to work within deadlines

  • Solution-driven and problem-solving attitude

  • Legal or audit background would be useful

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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