09/04 Ritu Sanghvi
Specialist - Human Capital at Duff & Phelps

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Duff & Phelps - Analyst - Compliance & Regulatory Consulting Practice (2-5 yrs)

Mumbai Job Code: 684893

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.

We are looking for an Analyst to be an essential part of the team assisting the Compliance & Regulatory Consulting practice to manage and perform client electronic surveillance monitoring.

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. 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.


- Closely coordinate with the US Compliance & Regulatory Consulting practice to manage and perform various ongoing SEC compliance support services on behalf of its clients (primarily hedge funds and private equity funds)

- Assist in managing and monitoring various personal trading platforms on behalf of CRC clients

- Review and provide compliance comments to marketing materials, including investor letters, DDQs and presentations

- Proactively monitor and report on potential electronic communication compliance violations

- Work closely with external vendors to troubleshoot and escalate critical systems issues

- Actively monitor and report on potential electronic communication compliance violations

- Prepare employee training slides based on policies and procedures as well as SEC / FINRA / NFA recent developments

- Stay abreast of SEC guidance regarding regulatory changes and guidance regarding electronic communications and surveillance systems

- Draft updates to client Form ADV registration materials

- Prepare Compliance Manuals and Code of Ethics for clients that are designed to satisfy SEC rules and regulations

- Experience advising hedge funds and private equity funds is a plus


- Bachelor's or master's degree in Commerce, Accounting, Business Administration or Management (with a concentration in Accounting, Economics or Finance) from an accredited university or college.

- Proven 2-5 years of work experience in a compliance role.

- 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

Women-friendly workplace:

Maternity and Paternity Benefits

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