Senior Associate, Compliance Consulting - DUFF AND PHELPS, LLC - San Francisco, CA

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.

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 Firm’s regulatory requirements Conduct annual compliance reviews; Prepare and deliver compliance training; Prepare and submit annual and quarterly regulatory filings; Monitor employee personal trading and electronic communications; Prepare and maintain employee disclosure forms and assist client in organization and maintenance required books and records; 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, including a thorough understand of Form ADVs and Form PF Proactively provide practical, business friendly solutions for esoteric regulatory issues.
REQUIREMENTS: Undergraduate degree required 5 years business related experience; Knowledge of the Commodity Exchange Act (CEA) and the rules of the National Futures Association is a plus 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 careers.duffandphelps.jobs

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.

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