Senior Associate, Regulatory Consulting
Duff & Phelps Corp
London, United Kingdom
9h ago

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’ Regulatory consulting team helps firms deliver on a wide range of engagements including financial crime, compliance risk, regulatory readiness, compliance monitoring and regulatory reporting.

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 :

As a Senior Associate within an expanding team, you will gain exposure to exciting projects. In addition, your career and development opportunities are unparalleled with exposure to clients from day one.

Being part of a specialist group, but within a truly global firm, means your personal impact will be instant and supported by an ambitious full service professional services firm.

As a Senior Associate you will work to :

  • Undertake reviews following a risk based approach, identifying control failings and operational weaknesses across a range of firms
  • Provide on the job and ad hoc advice and support to clients
  • Manage and maintain client relationships
  • Draft reports for firms and international regulators
  • Collate and manipulate data, visualising trends and patterns in performance.
  • Prepare and deliver training sessions both internally and for clients
  • Prepare pitch documents and proposals for potential work
  • Prepare articles and other publications for distribution both internally and externally
  • Deliver on a wide range of engagements, including working in the following areas :
  • S166
  • AML / Financial Crime
  • Compliance Risk
  • Retail Conduct
  • Due Diligence
  • Governance / SYSC
  • Regulatory readiness
  • Market regulation
  • Conduct of business
  • MiFID II
  • REQUIREMENTS : We are looking for someone who is passionate, focused, collaborative and entrepreneurial. This role would suit a team player with the ability to use their own initiative and provide prompt practical services to clients.

  • Minimum 4 years’ experience experience in regulation or compliance (for example gained within Consulting, Financial Services Auditing, Asset Management, Banking, Brokers, Investment Banks and the Regulator)
  • Background in financial services and an interest in / awareness of current issues facing the industry
  • Exceptional oral and written communication skills and presentational expertise
  • Comfortable and effective working with wide groups of stakeholders, from C-suite to functional heads to operational staff, developing strong stakeholder relationships
  • Client facing, solutions focused, individual
  • Experienced in Microsoft office, specifically PowerPoint, Word and Excel
  • CISI qualifications would be desirable
  • Preferred 2.1 degree
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