5+ years of experience
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Employment Type:
Full time
Job Category:
Analyst, Compliance Consulting
(This job is no longer available)
Kroll Technologies, LLC | Chicago, IL
Grad Date

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Job 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.


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. The Firm's clients are primarily registered investment advisers including, but not limited to, private equity firms, hedge funds, and venture capital firms.

* 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.


* Undergraduate degree required
* 3- 5 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 https://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.


About Kroll Technologies, LLC

Kroll Technologies, LLC has the experience, equipment and controlled processes to produce the highest quality product for your needs. Our ISO 9001:2008 certification documents our underlying philosophy of quality and timely performance. Computerized advanced optical measuring systems provide high resolution imaging information used to inspect parts for conformity to specifications. Our investment in such high caliber equipment emphasizes our commitment to provide components the end user can rely on. Measurement Documentation, SPC Charting, Lot Control and Part Retention are an integral part of our Quality Plan.