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.
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.
- Relationship expertise
- Deadline oriented
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
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 LiDirector, Regulatory Consulting, London
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 20001712 Singapore, Singapore Apply now
Duff & Phelps’ Compliance Consulting practice 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.
- Managing a portfolio of clients regulated by the MAS, FCA and other global regulators (including limited experience with US SEC, NFA and CFTC)
- Preparing and assisting on MAS related filings as well as FCA related obligations, regulatory requirements and FCA filings
- Preparing and assisting on Exempt Reporting Adviser fillings with SEC and other ‘light touch’ US regulatory filings and obligations including CFTC de minimis
- Assisting clients on AIFMD, MIFDII and GDPR related matters for UK and Singaporean asset managers
- Preparing MAS compliance manuals and other related MAS and FCA policies and procedures, encompassing a global set of documentation for Singapore and London based alternative asset managers
- Design and build initial compliance infrastructures and assisting with ongoing compliance monitoring with global asset management clients
- Implement global compliance monitoring programs for MAS asset managers
- Manage a team of compliance analysts and/or associates, supervising client interactions and act as a point of escalation for all client issues or questions
- Undertaking periodic compliance monitoring reviews at client premises including email reviews required under SEC, MAS and FCA registrations
- Managing global regulatory filing and reporting schedules
- Providing ad hoc regulatory advice and practical compliance solutions
- Updating clients on MAS and FCA regulatory change and providing implementation advice to asset management clients
- Networking and relationship building with industry professionals and industry bodies, including speaking at industry events
- Proven experience in a compliance role, for example within an MAS and FCA regulated firm or an MAS and FCA regulatory compliance consultancy practice
- Detailed understanding of MAS, FCA and other global regulatory rules and regulations (including certain ‘light-touch’ US SEC, CFTC and NFA filings)
- Understanding of the financial services industry (e.g. alternative asset management and financial industries in Singapore and UK) with experience across different types of alternative asset managers
- Experience working with AIFMD asset managers operating in Asia
- Detailed understanding of the hedge funds and private equity asset managers
- Ability to work on own initiative as well as part of a team and manage a team of analysts and/or associates with prior experience as a manager
- Experience with a client facing role and ability to implement creative solutions
- 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
- Regulatory compliance or audit background required (compliance background in both Singapore and London preferred)
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.