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, PowerPoint, and Word
• Ability to travel 0-10% based on the work you do
• Limited immigration sponsorship may be available

• Preferred: Experience working with securities and financial relationships, including stocks, bonds, mutual funds, and exchange-traded funds
• 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 wage range for this role is $51,900 to $95,500. EA_ExpHire EA_RBP_ExpHire