Senior Associate, Compliance Consulting
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.
Our 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:
- Responsible for managing a portfolio of client relationships
- Drafting compliance manuals and other compliance documentation for clients (such as MLROreports, SYSC risk registers, conflicts registers)
- Setting up the compliance infrastructure for clients
- Undertaking periodic compliance monitoring reviews at client premises
- Writing compliance monitoring reports
- Managing regulatory reporting schedules
- Drafting and/or reviewing FCA Reports and Returns (financial and non-financial)
- Providing ad hoc regulatory advice and solutions
- Updating clients on regulatory change
- Assisting in updating compliance material to take account of Rule changes
- Networking with industry professionals
- Proven experience in a compliance role within the FCA, an FCA regulated firm or a consultancy practice.
- Detailed knowledge and understanding of the FCA Handbook
- Detailed knowledge of the investment management and broking sectors
- Broad understanding of the alternative investment industry
- 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 oral and written communication skills
- Time management and ability to work under pressure
- Legal or audit background would be useful
- Contacts within the UK and overseas investment industry would be useful
- Experience of US regulation would be useful
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.