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

Job Summary

We are seeking a Services Associate who will monitor brokerage account compliance and import data into Deloitte's Independence monitoring system.

Responsibilities

• 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
• Limited immigration sponsorship may be available

Preferred Qualifications

• 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

Benefits

The team at Deloitte fosters a culture that protects, preserves, and enhances our reputation. This position offers a dynamic work environment driven by changing financial instruments and the need for responsiveness to regulatory change.

Pay

The wage range for this role is $51,900 to $95,500. The disclosed range estimate has not been adjusted for the applicable geographic differential associated with the location at which the position may be filled. At Deloitte, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case.