Senior Associate, Compliance Consulting Senior Associate, Compliance Consulting …

Duff & Phelps Ltd
à Hong Kong, Hong Kong, Hong Kong
CDI, Plein-temps
Soyez parmi les premiers à postuler
Competitive
Duff & Phelps Ltd
à Hong Kong, Hong Kong, Hong Kong
CDI, Plein-temps
Soyez parmi les premiers à postuler
Competitive
Senior Associate, Compliance Consulting
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:
  • Managing a portfolio of clients regulated by the SFC, SEC and other global regulators
  • Preparing compliance manuals and other related policies and procedures
  • Setting up the compliance infrastructure and assisting ongoing compliance monitoring
  • Undertaking periodic compliance monitoring reviews at client premises
  • Writing compliance monitoring reports
  • 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
REQUIREMENTS:
  • Proven experience in a compliance role, for example within an SFC regulated firm or a compliance consultancy practice
  • Detailed understanding of SFC, SEC rules and regulations
  • Understanding of the financial services industry i.e. asset management and broking sectors
  • Broad understanding of the alternative asset management industry
  • Ability to work on own initiative and as part of a team
  • 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 audit background would be useful
In order to be considered for a position at Duff & Phelps, you must formally apply via careers.duffandphelps.jobs

Duff & Phelps is committed to equal opportunity and diversity, and recruits people based on merit.
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