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.
Senior Associate, Compliance Consulting
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
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
Explore our findings and navigate the regulatory and financial services developments taking place in 2018.
Duff & Phelps professionals are leaders within their respective fields and frequently publish materials and contribute to third party reports.
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.
As a global firm, our benefits vary by country.
Our offices around the globe offer easy access to public transportation, dining, shopping, gyms and many other convenient options.
DescriptionJob ID 20000777 Mumbai, India
We are looking for a Senior Associate to join us and be an essential part of the team assisting the US Compliance & Regulatory Consulting practice. The team mainly supports SEC registered investment advisers with their ongoing regulatory compliance obligations. Areas of support include the surveillance of electronic communications, social media, personal and political contributions, as well as the review of client marketing materials and the development of other compliance-related memos, manuals and reports.
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.
- Closely coordinate with the Compliance & Regulatory Consulting practice to aid in drafting various written memos and reports for investment adviser clients
- Draft, review and update client regulatory compliance manuals and other internal firm compliance policies
- Review and comment on client marketing materials in adherence to US investment advisers laws and regulations (Investment Advisers Act of 1940)
- Assist the Compliance & Regulatory Consulting practice in other compliance testing areas for clients including employee electronic communications/social media surveillance and personal trading surveillance.
- Bachelor's or Master’s degree in Commerce, Accounting, Business Administration or Management (with a concentration in Accounting, Economics or Finance), CS, Law degree from an accredited university or college.
- Preferable legal and/or financial industry background would be useful
- Preferable experience with US investment adviser laws and regulations
- Proven 3-7 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
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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