Senior Consultant - Capital Markets Surveillance

About the role

The Enterprise Operations & Risk offering at Deloitte assists clients in achieving profitable growth and competitive advantage by optimizing key business operations. Our professionals focus on extending enterprise resilience, agility, and remediation capabilities, addressing needs that span the organization and impact strategy, operations, performance, and reputation.

Responsibilities

• Assist clients with their 1st and 2nd lines of defense supervision and surveillance programs, focusing on risk areas such as market abuse, manipulation, information barriers, and conflicts of interest.
• Design, implement, and manage systems and processes to detect and prevent market abuse, insider trading, and other trading anomalies.
• Engage with clients on market trends, competitive activities, and industry-specific discussions, potentially including with clients, industry consortiums, or trade groups or committees.
• Lead internal business development initiatives and sales opportunities, including creating external-facing industry perspectives, lead generation materials, or sales proposals.
• Identify, evaluate, and prioritize business, operational, regulatory, and technology risks, as well as risk mitigation strategies for clients.
• Support and jointly own internal business initiatives, managing resources and project economics to meet business objectives within prescribed timeframes and budgets.
• Understand the impact of key technology trends and workforce changes impacting clients through engagement with innovative and emergent technologies, including cloud computing, big data and analytics, process automation, artificial intelligence / machine learning, and other digital strategies.

Qualifications

• Bachelor's Degree or higher
• Minimum of 5+ years working in the financial services or consulting industry related to investment banking, broker-dealer, prime brokerage, wealth management, or related technology service provider
• Significant experience in one or more of the following areas - Trade surveillance, communications surveillance, control room / information barriers compliance, or 1st line supervision/control
• Strong familiarity with trade/communications surveillance and information barriers solutions
• Knowledge of relevant financial and securities regulations (market abuse, insider trading, information barriers) – US and global
• Ability to travel up to 75% based on the work you do and the clients and industries/sectors you serve
• Direct experience in people management, preferably leading cross-function project teams

Preferred qualifications

• Experience using, configuring, implementing, or supporting systems for either trade surveillance, communications surveillance, control room/information barriers, employee compliance
• Strong technical skills in data manipulation, including SQL and potentially Python
• Experience in designing trade surveillance models and analytics
• Direct hands-on experience with order management, trade capture, regulatory reporting systems/processes
• Direct experience with process design and mapping, workflow development, user acceptance testing, data mapping, migration, visualization/ analytics, system configuration and testing, status monitoring and issue resolution
• Experience aligning operational or compliance/surveillance processes to broader business or product strategies, with understanding of market structure and emerging trends
• Exposure to or previous work with major financial services regulators (e.g., SEC, FINRA, CFTC, OCC, FCA, DOJ, FRB)

Pay

$119,000 to $218,300

Schedule

Full-time