Senior Associate (Internal Auditor), Regulatory Consulting

Duff & Phelps (Luxembourg, Luxemburg) Vor 2 Tagen veröffentlicht

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 a Senior Associate – Internal Audit to join our fast-growing, dynamic and entrepreneurial 3 rd party Management Company (UCITS/AIFM) based in Luxembourg. We are looking for someone with proven internal audit skills working on Luxembourg third party Management Company/AIFM, who is empathetic, collaborative and results driven. This role would suit an agile and dynamic leader with excellent communication and listening skills

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.


  • Your responsibilities will be to perform regular, focused financial or operational audits outlined in the annual audit plan to identify, resolve or recommend solutions to control issues;
  • Performance of Audits (sampling, testing, assessing compliance with regulatory requirements and internal policies and assessing whether market best practices are carried out)
  • You will perform regular review of various internal policies, procedures and check compliance with relevant rules and regulations
  • Perform internal checks and make sure activities, operations, reports are compliant detect gaps and suggest improvements and mitigation plans
  • Centralize annual internal audit test and liaise with the external auditing entity and be the central point of contact
  • Review and own the compliance charter, audit testing plans, internal audit work stream
  • Work alongside the Managing Director, conducting officers and compliance team to conduct thorough analysis on detected issues and assess the risks;
  • Prepare documentation, reports on findings and recommend changes to improve effectiveness or efficiency of controls;
  • Serve as a resource on process redesign projects and initiatives to ensure that effective controls are developed and documented;
  • Outline the process gaps, risk assessment and control implications of business process changes in order to comply with established policies and procedures;
  • Work with functional/business users to finalize and test controls;
  • Coordinate with external auditors on the annual audit process;
  • Assist with objective definition and design of test plans.
  • University degree in finance or economics or relevant business experience
  • Between 3 - 5 years’ Internal Audit experience, ideally gained from a Big 4 or top tier professional consulting firm
  • Demonstrable experience auditing third party Management Company/AIFM
  • You have in depth knowledge of AIFMD, UCITS, CSSF 18/698, AML/CTF and other relevant rules and regulations
  • Good command of Excel, Word and excellent PowerPoint
  • Solution-driven and results-oriented, problem solving attitude, constructive Client oriented mindset
  • Ability to manage multiple projects on various time scales, strong follow-up and client servicing qualities
  • Curiosity and eagerness to learn
  • Fluency in English + French and/or German
  • Excellent written and verbal communication skills that help represent diverse communities
  • Experience working with diverse teams

In order to be considered for a position at Duff & Phelps, you must formally apply via 

Duff & Phelps is committed to equal opportunity and diversity, and recruits people based on merit.

Senior Associate (Internal Auditor), Regulatory Consulting

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