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Vice President, Compliance Consulting
Duff and Phelps
New York, NY, United States
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Description
Duff & Phelps is the premier global valuation and corporate finance advisor with expertise in complex valuation, disputes and investigations, M&A, restructuring, and compliance and regulatory consulting.
Our professionals balance analytical skills, deep market insight and independence to help our clients make sound decisions. As an organization, we think globally—and 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 enables you to excel. If you’re ready to share your perspective with the world, make a real impact at Duff & Phelps. Find out how our approach will change everything for YOU.
Join our team and together we'll power the sound decisions that enhance value — yours and ours.
Responsibilities:
We are looking for someone to be an essential part of the Duff & Phelps’ team assisting our clients with their regulatory responsibilities. We are looking for bright, innovative individuals to be part of a growing team, individuals that have initiative and who will relish taking on responsibility. We can offer you the opportunity to manage your own portfolio of clients seeking regulatory advice, and a work environment that offers variety and is challenging and rewarding. This role would suit someone proactive, who thrives in a fast paced environment, and enjoys multitasking.
• 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:
• Undergraduate degree required
• 5– 10 years business related experience; Knowledge of the Commodity Exchange Act (CEA) and the rules of the National Futures Association is a plus
• 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 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.
Transparency. Confidence. Trust.