Senior Associate, Compliance,Consulting Senior Associate, Compliance,Consulting …

Duff & Phelps
in San Francisco, CA, United States
Permanent, Full time
Be the first to apply
Duff & Phelps
in San Francisco, CA, United States
Permanent, Full time
Be the first to apply
Senior Associate, Compliance,Consulting
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, youll discover a supportive and collaborative work environment that empowers you to excel. If youre 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 provides expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers and broker dealers.

At Duff & Phelps, your work will help protect, restore and maximize value for our clients. Join us and together well maximize the value of your career.


  • Provide day-to-day support in the development, implementation and maintenance of compliance programs for a variety of registered investment advisers, including but not limited to:
  • Development and implementation of compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firms regulatory requirements;
  • Conduct annual compliance reviews;
  • Prepare and deliver compliance training;
  • Prepare and submit annual and quarterly regulatory filings (i.e., Form ADV, Form PF);
  • Review employee personal trading and electronic communications;
  • Prepare and maintain employee disclosure forms and assist client in organization and maintenance required books and records;
  • Review client marketing material;
  • Continuously monitor relevant regulatory changes and assist clients in developing internal controls, accordingly.
  • Register clients as investment advisers with the appropriate regulatory bodies;
  • Assist in conducting mock regulatory exams;
  • Assist in providing SEC exam support;
  • Proactively provide practical, business friendly solutions for esoteric regulatory issues.


  • Undergraduate degree required
  • 5 years business related experience; Knowledge of the Investment Advisers Act of 1940
  • Excellent written and verbal communication skills
  • Thorough understanding of, and experience with, compliance program development and maintenance
  • Strong, independent self starter, as well as collaborative problem solver
  • Strong research skills
  • Ability to multi-task across a range of projects with constantly shifting priorities

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.

Primary Location:
Work Locations: San Francisco (0406) 345 California Street, Suite 2100 San Francisco, 94104
Organization: Kroll
Schedule: Full-time
Job Posting: Jul 15, 2020
Duff & Phelps logo
More Jobs Like This
See more jobs