Senior Consultant - Capital Markets Surveillance

About the role

The Enterprise Operations & Risk offering at our firm enables clients to achieve profitable growth and competitive advantage by optimizing their "heart of the business" operations. We leverage deep domain expertise to extend enterprise resilience, agility, and remediation capabilities.

Responsibilities

• Serve as primary client contact or workstream lead on complex projects, liaising with client counterparts and participating in discussions on project management and work delivery needs.
• Lead the development of quality work products throughout the development lifecycle, from initial conception to implementation.
• Act as a subject matter advisor on client projects, providing recommendations to improve or transform processes to gain efficiencies or scale or reduce risk for our clients.
• Engage with industry participants on market trends, competitive activities, and topic-specific discussions impacting the industry, potentially including with clients, industry consortiums, or trade groups or committees.
• Lead internal business development initiatives and sales opportunities, including the creation of 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 our clients.
• Support and jointly own internal business initiatives, including the management of resources and project economics to meet business objectives with prescribed timeframes and within budgets.
• Understand the impact of key technology trends and workforce changes impacting our 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 any of the following: 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
• Strong technical skills in data manipulation, including SQL and potentially Python
• Experience using, configuring, implementing, or supporting systems for either trade surveillance, communications surveillance, control room/information barriers, employee compliance
• Direct 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
• Exposure to or previous work with major financial services regulators (e.g., SEC, FINRA, CFTC, OCC, FCA, DOJ, FRB)

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
• 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
• Exposure to or previous work with major financial services regulators (e.g., SEC, FINRA, CFTC, OCC, FCA, DOJ, FRB)

Skills

• Ability to work independently and collaborate as part of a team
• Meticulous attention to detail and quality of work product
• Strong interpersonal skills and professional demeanor
• Strong oral and written communication skills
• Strong relationship management skills, particularly the ability to build constructive and productive relationships with clients and among Deloitte practitioners
• Strong project / program management skills, particularly possessing a strong work ethic, a commitment to excellence in work product delivery, and the ability to independently manage multiple priorities and deadlines
• Advanced aptitude with Microsoft Office products, particularly Microsoft PowerPoint, Excel, and Visio

Pay

Reasonable estimate of the current range is $119,000 to $218,300.

Schedule

Must be legally authorized to work in the United States without the need for employer sponsorship, now or at any time in the future.