Full-time
Vice President, 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.
RESPONSIBILITIES: Provide guidance and interpretation of NFA Rules and CFTC Regulations Lead teams in broker/dealer exams, utilizing both FINRA Rules and SEC Regulations Building client relationships, identifying and sourcing of new work, and new product development Providing technical expertise on complex issues Drafting compliance manuals and client monitoring program. Attending client meetings and preparing deliverables Performing various project-based client reviews, and researching ad hoc compliance related rules and best practices. Mentoring, developing, and motivating junior staff REQUIREMENTS: Provide guidance and interpretation of NFA Rules and CFTC Regulations
Lead teams in broker/dealer exams, utilizing both FINRA Rules and SEC Regulations Building client relationships, identifying and sourcing of new work, and new product development Providing technical expertise on complex issues Drafting compliance manuals and client monitoring program. Attending client meetings and preparing deliverables Performing various project-based client reviews, and researching ad hoc compliance related rules and best practices. Mentoring, developing, and motivating junior staff
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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