Senior Associate, Compliance,Consulting
Senior Associate, Compliance Consulting
Our professionalsbalance analytical skills, deep market insight and independence to deliversolid, defensible analysis and practical advice to our clients. As anorganization, we think globally. We create transparency in an opaque world, andwe encourage our people to do the same. That means when you take your place onour team, youll discover a supportive and collaborative work environment thatempowers you to excel. If youre ready to share your perspective with theworld, then you can make a real impact here. This is the Duff & Phelpsdifference.
Duff & PhelpsCompliance Consulting provides expert compliance support for a variety of firmsincluding hedge funds, private equity firms, wealth managers and brokerdealers.
At Duff & Phelps, yourwork will help protect, restore and maximize value for our clients. Join us andtogether 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 beconsidered for a position at Duff & Phelps, you must formally apply viacareers.duffandphelps.jobs Primary Location: Work Locations:
Duff & Phelps is committed to providing equal opportunities inemployment. We will not discriminate between applications for reason of gender,gender identity, race, religion, color, nationality, ethnic origin, sexualorientation, marital status, veteran status, age or disability.
Los Angeles (0405) 10100 Santa Monica Blvd., 11th Floor Los Angeles, 90067 Organization:
Full-time Job Posting:
Jul 15, 2020