At Duff & Phelps, we stand for the qualities that power sound decisions.  And we believe that behind every good decision, you'll find solid thinking, proven experience and valuable insight.  But all the numbers and facts in the world mean nothing without a top team of professionals to make sense of them all.

That's where YOU come in - provided you're incisive, entrepreneurial and up for a challenge. We offer an environment where your talent and perspective matter - where you can make a real impact.

Join our team and together we'll power the sound decisions that enhance value - yours and ours.

We are looking for someone to be an essential part of the team assisting our clients with their regulatory responsibilities. 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. We can offer you the opportunity to manage your own portfolio of clients seeking regulatory advice, and a work environment that offers variety and is challenging and rewarding. This role would suit someone proactive, who thrives in a fast paced environment, and enjoys multitasking.

Responsibilities:

• Managing a portfolio of clients regulated by the SFC, SEC and other global regulators
• Managing a team of consultants, each with own client base
• Preparing compliance and operational policies and procedures
• Setting up the regulatory and governance infrastructure and assisting ongoing monitoring
• Undertaking periodic monitoring reviews at client premises
• Reporting on findings and providing recommendations for procedural improvements to meet regulatory and best practice requirements
• Managing regulatory filing and reporting schedules
• Providing ad hoc regulatory advice and creative solutions
• Updating clients on regulatory change
• Networking and relationship building with industry professionals and industry bodies
• Business development with potential clients

Requirements:

• Proven experience in a compliance role, for example within a regulator, a regulated firm or a consultancy practice
• Detailed understanding of SFC rules and regulations
• Ideally detailed understanding of SEC rules and regulations
• Broad understanding of the alternative asset management industry
• Ability to work on own initiative and as part of a team
• Leadership skills
• 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
• Legal or accountancy background would be useful but not required

In order to be considered for a position at Duff & Phelps, you must formally apply via https://duffphelps.taleo.net/careersection/ex/jobdetail.ftl?job=11331&lang=en

Duff & Phelps is committed to equal opportunity and diversity, and recruits people based on merit.

Transparency. Confidence. Trust