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Vice President, Compliance Consulting

Singapore, Singapore

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
  • Detail-oriented
  • Insightful
  • Problem-solver
  • Relationship expertise
  • Deadline oriented

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Career Path

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

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Employee Testimonials

Simon Appleton
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.

Simon Appleton

Director, Regulatory Consulting, London
Tammy Li
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 Li

Director, Regulatory Consulting, London

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.

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Description

Job ID 20001435 Singapore, Singapore Apply now

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 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.

 
RESPONSIBILITIES:
  • Managing a portfolio of clients regulated by the SEC, NFA and CFTC, and other global regulators
  • Submitting Form ADV Part 1, 2A and 2B to the SEC
  • Assisting clients on Form 13F, 13G, 13H and other 34’ Act filings
  • Preparing compliance manuals and other related SEC and NFA policies and procedures 
  • Design and build initial compliance infrastructure and assisting ongoing compliance monitoring with global asset management clients
  • Undertaking periodic compliance monitoring reviews at client premises including email reviews required under SEC registration
  • Managing global regulatory filing and reporting schedules
  • Providing ad hoc regulatory advice and practical compliance solutions
  • Updating clients on US regulatory change and providing implementation advice to asset management clients
  • Networking and relationship building with industry professionals and industry bodies
REQUIREMENTS:
  • Proven experience in a compliance role, for example within an SEC regulated firm or an SEC compliance consultancy practice
  • Detailed understanding of SEC, CFTC and NFA rules and regulations
  • Understanding of the financial services industry (e.g. alternative asset management and broking industries)
  • Experience working with FINRA Broker/Dealers
  • Detailed understanding of the hedge funds and private equity asset managers
  • Ability to work on own initiative as well as part of a team
  • 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
  • Legal or audit background required (compliance background in an SEC or NFA registered asset manager 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.

Apply now

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