Skip to main content

SEARCH JOBS AT DUFF & PHELPS

OR Match jobs with LinkedIn

Any information we receive from LinkedIn is determined by LinkedIn and your privacy settings thereon. Duff & Phelps is not responsible for the privacy practices of any non-D&P operated websites. We will process any data we receive in accordance with our privacy policy.

OK

Senior Associate, 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

Back to Job Navigation (Success)

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

Back to Job Navigation (Trending)

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.

Back to Job Navigation (Rewards)

Description

Job ID 20000777 Mumbai, India
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 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.

 
Responsibilities:
 
  • 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.
 
Requirements:
 
  • 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.

Apply now

Get connected to Duff & Phelps

World Map

Job Alerts

Be the first to know about the jobs that are right for you. Set your criteria and sign up now.

By submitting your information, you acknowledge that you have read our privacy policy (this content opens in new window) and consent to receive email communication from DUFF & PHELPS, LLC.

* denotes required field