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.
Compliance Consulting Interns will provide day-to-day support in the development, implementation and maintenance of compliance programs for a variety of registered investment advisers, including but not limited to:
Development and implementation of compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm’s regulatory requirements
Conduct annual compliance reviews
Prepare and deliver compliance training
Prepare and submit annual and quarterly regulatory filings
Monitor employee personal trading and electronic communications
Prepare and maintain employee disclosure forms and assist client in organization and maintenance required books and records
Continuously monitor relevant regulatory changes and assist clients in developing internal controls, accordingly
Register clients as investment advisers with the appropriate regulatory bodies
Assist in conducting mock regulatory exams
Assist in providing SEC exam support
Proactively provide practical, business friendly solutions for esoteric regulatory issues
Currently enrolled in a Bachelor's, Master’s program from an accredited college or university
Must be willing to start between December 2021 and September 2022
Minimum current cumulative GPA of 3.0
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
Excellent time management and organization skills
Ability to master new tasks and industries quickly
Demonstrated leadership experience and strong personal integrity
Ability to prioritize tasks, work on multiple assignments and manage rapidly changing assignments in a team environment
Demonstrated commitment to obtaining outstanding results
Applicants must be currently authorized to work in the United States without the need for visa sponsorship now or in the future
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.