Jean Loftus serves as Director and Senior Compliance Officer at Duff & Phelps Investment Management Co. Her responsibilities include completing appropriate filings to ensure that the firm is in compliance with regulatory requirements and the reviewing of fund and client account activity for potential compliance problems. Other responsibilities include monitoring the Code of Ethics for Personal Trading and monitoring trading activity and client account objectives and restrictions. She is also responsible for proxy voting review and maintenance. Prior to joining Duff & Phelps in 2006, Jean was Senior Compliance Administrator at Stein Roe Investment Counsel, LLC from July 1998 to November 2006. She holds a BS in Finance from Northern Illinois University.
Significant roles and professional affiliations
- Investment Adviser Certified Compliance Professional, IACCP®
- Claritas® Investment Certificate, 2013
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