Services Associate, Risk & Compliance (Tracking & Trading/Broker Data Import Program)

Work you'll do

• Work closely with outside brokerage firms and Deloitte professionals to support brokerage account compliance activities
• Gain a robust knowledge of Deloitte policies to provide guidance to professionals, resolve customer inquiries, evaluate risk, and determine the permissibility of financial relationships
• Aid partners and employees in understanding compliance requirements for personal financial relationships, with a focus on brokerage accounts
• Research financial products and support decisions on how those products should be monitored within the Tracking & Trading System
• Work with Deloitte professionals to support accurate reporting of financial relationships in internal systems and provide guidance on brokerage account transfers

Qualifications

• Bachelor's degree
• 1+ years of experience in a large corporate environment or professional services firm
• Experience using Microsoft Excel, Microsoft PowerPoint, and Microsoft Word
• Ability to travel 0-10%, on average, based on the work you do
• Preferred: Experience working with securities and financial relationships, including stocks, bonds, mutual funds, and exchange-traded funds; Knowledge of independence requirements for professional auditing firms; Prior experience working at a broker dealer or in a compliance role; In-depth knowledge of financial products and brokerage relationships; Familiarity with broker data feeds

Pay

The wage range for this role takes into account the wide range of factors that are considered in making compensation decisions including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs.

Schedule

Not specified

Benefits

Our inclusive culture empowers our people to be who they are, contribute their unique perspectives, and make a difference individually and collectively. It enables us to leverage different ways of thinking, ideas, and perspectives, and bring more creativity and innovation to help solve our clients' most complex challenges. This makes Deloitte one of the most rewarding places to work.

Skills

• Ability to work independently and collaborate as part of a team
• Effective written and verbal communication skills
• Meticulous attention to detail and quality of work product
• Ability to build and sustain professional relationships
• Ability to lead projects or workstreams
• Ability to manage and prioritize multiple tasks in a fast-paced and dynamic environment
• Strong interpersonal skills and professional demeanor
• Ability to meet deadlines
• Ability to provide clear guidance to others

About the role

We are seeking a Services Associate who will be responsible for monitoring brokerage account compliance for approximately 75K professionals and the daily import of 20+ broker dealer files into Deloitte’s Independence monitoring system called the Tracking & Trading System.

Requirements

Required: Bachelor's degree, 1+ years of experience in a large corporate environment or professional services firm, Experience using Microsoft Excel, Microsoft PowerPoint, and Microsoft Word, Ability to travel 0-10%, on average, based on the work you do

Requisition Number

EA_ExpHire EA_RBP_ExpHire

Application Instructions

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Company

At Deloitte, we know that great people make a great organization. We value our people and offer employees a broad range of benefits. Learn more about what working at Deloitte can mean for you.