Director, Compliance Consulting Director, Compliance Consulting …

D&P China (HK) Limited
à Hong Kong, Hong Kong, Hong Kong
CDI, Plein-temps
Dernière candidature, 09 juil. 20
Competitive
D&P China (HK) Limited
à Hong Kong, Hong Kong, Hong Kong
CDI, Plein-temps
Dernière candidature, 09 juil. 20
Competitive
Duff & Phelps is the global advisor that protects, restores and maximizes value for clients in the areas of valuation, corporate finance, investigations, disputes, cyber security, compliance and regulatory matters, and other governance-related issues. We work with clients across diverse sectors, mitigating risk to assets, operations and people. With Kroll, a division of Duff & Phelps since 2018, our firm has nearly 4,000 professionals in 25 countries around the world.

RESPONSIBILITIES:-


• Managing a portfolio of clients regulated by the SFC, SEC and other global regulators
• Managing a team of consultants, each with own client base
• Preparing compliance and operational policies and procedures
• Setting up the regulatory and governance infrastructure and assisting ongoing monitoring
• Undertaking periodic monitoring reviews at client premises
• Reporting on findings and providing recommendations for procedural improvements to meet regulatory and best practice requirements
• Managing regulatory filing and reporting schedules
• Providing ad hoc regulatory advice and creative solutions
• Updating clients on regulatory change
• Networking and relationship building with industry professionals and industry bodies
• Business development with potential clients


REQUIREMENTS:-


• Proven experience in a compliance role, for example within a regulator, a regulated firm or a consultancy practice
• Detailed understanding of SFC rules and regulations
• Ideally detailed understanding of SEC rules and regulations
• Broad understanding of the alternative asset management industry
• Ability to work on own initiative and as part of a team
• Leadership skills
• Client facing, solutions focused skills
• Clear, logical thought processes, ability to make decisions and articulate these clearly
• Strong English oral and written communication skills
• Time management skills and ability to work within deadlines
• Solution-driven and problem-solving attitude
• Legal or accountancy background would be useful but not required


In order to be considered for a position at Duff & Phelps, you must formally apply via careers.duffandphelps.jobs
 

Close
Loading...