Director, Compliance Consulting

Duff & Phelps Corp

Hong Kong, Hong Kong SAR

12小时前

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 value the diverse backgrounds and perspectives that enable us to think globally. We create transparency in an opaque world, and we encourage our people to do the same.

That means when you join our team, you’ll become part of 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.

We are looking for someone to be an essential part of the 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.

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

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

Excellent written and verbal communication skills that help represent diverse communities

Experience working with diverse teams

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