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Director, Compliance Consulting

New York, New York

Are you a fast-paced multitasker? We are looking for bright individuals who enjoy using their innovation and skills to take on multiple challenges. Tackling assignments such as preparing compliance manuals and supporting both regulatory filings and their reporting schedules will accelerate your career growth. While working with us, you will be part of a team that empowers you to find solutions.

  • Full-time
  • Mid
  • Minimal (if any)

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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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  • 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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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’ Compliance Consulting assists clients in setting up firms, obtaining their initial authorization or registration, and providing them with ongoing compliance advice to navigate the rapidly changing regulatory landscape.

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.


• Team leader for our broker-dealer compliance business
• Interact with senior management of broker- dealer clients and regulatory authorities.
• Maintain, build and develop client relationships while also identifying and sourcing new opportunities with existing or new clients.
• Act as a key point of contact for clients on engagement delivery on a daily basis while executing on client deliverables.
• Provide technical expertise on complex issues around FINRA and SEC broker-dealer registration, ongoing compliance issues, exam support, mock examinations and reporting.
• Stay abreast of relevant regulatory developments.
• Mentor, develop and motivate staff at the VP, associate and analyst level.


• Minimum of 8 years of experience within the legal/consulting/professional services capacity focused on regulatory compliance.
• Bachelor’s degree is required. MBA, JD or equivalent is preferred.
• Strong knowledge of FINRA and SEC broker-dealer regulations.
• Previous regulatory examination experience within FINRA or the SEC, preferred.
• Prior client relationship experience giving advice on regulatory matters and demonstrable strong technical skills in regulatory compliance issues.
• Demonstrable experience in building and managing project teams to address complex issues.
• Excellent oral and written communication skills with the ability to provide clear and concise analysis and recommendations.
• Ability to lead and manage day to day aspects of engagement activities and an ability to work with clients.

In order to be considered for a position at Duff & Phelps, you must formally apply via

Duff & Phelps is committed to providing equal opportunities in employment. We will not discriminate between applications for reason of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status, age or disability.

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