Compliance and Regulatory Consulting
Local and global compliance expertise for the financial services industry.Compliance and Regulatory Consulting
Zach Johnson joined Duff & Phelps in January 2015 from Kinetic Partners. As a result of Duff & Phelps’ acquisition of Kinetic Partners, Duff & Phelps created a dedicated Compliance and Regulatory Consulting practice.
Zach is a director on the Regulatory Consulting team and has over 20 years of experience working in the Financial Services sector across various roles in trading, compliance and professional services. Prior to joining Duff & Phelps in 2010, Zach was Head of Compliance Monitoring at UBS Wealth Management, being responsible for trade and AML surveillance. Prior to UBS, Zach worked within the FSA’s Transaction Monitoring Unit, where he used his knowledge of financial instruments and markets to detect and instigate cases of market abuse and insider dealing as well as advise authorised firms on how to submit accurate transaction reports.
At Duff & Phelps, Zach has been consulting at top tier investment banks, focused on large scale remediation projects for transaction reporting and providing ongoing regulatory, operational and technical support to the Compliance and Operations teams at the banks. He has managed projects across an array of investment firms including investment banks, asset managers, inter-dealer brokers and spread betting firms. Most recently, Zach has been advising several firms on the implementation of MiFID II reporting requirements.