Duff Jordan has extensive experience in legal/regulatory, compliance and risk issues faced by financial institutions, including banks, broker-dealers, investment advisers and others. That experience has encompassed both (i) the application of US banking and securities laws to financial clients conducting business in the US and/or with US persons and (ii) the application of the laws of other jurisdictions to the cross-border activities of those financial clients.
Prior to joining HFK, Duff worked for more than 30 years in senior legal, compliance and risk roles at two global financial groups (Citigroup and Royal Bank of Canada), as well as with a major international law firm (Jones Day) and with the US Treasury/OCC. In those roles, Duff advised and assisted the primary business lines of those global groups (including wealth management, capital markets, asset management, corporate and consumer banking, fiduciary/trust, and others), coordinated between those business lines and institutional control functions, and directly addressed a comprehensive range of hands-on compliance, privacy and operational risk concerns. That background, involving clients and operations in more than 100 countries, has given Duff the opportunity to work with clients to solve complex legal and business issues covering multiple geographies. Further, he has addressed such issues from both in-house and external perspectives, providing him with an in-depth understanding of the real-world, practical concerns faced by business seniors and line management.
For most of his career, Duff has been based in the US, working from offices in New York, Washington DC, and Miami. In addition, however, he spent significant time living outside the US (six years in Brazil and two years in Saudi Arabia), which has also given him direct exposure to non-US legal systems, regulators and clients. Further, he has prepared and implemented policies and procedures covering a broad scope of US domestic cross-border operations, and he has provided instruction on banking and securities activities in English, Portuguese and Spanish.
A.B. Harvard College, Cambridge, MA
J.D. Yale Law School, New Haven, CT
District of Columbia
State of New York