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

Benefits

The team Risk & Brand Protection (R&BP) At Deloitte, we are stewards of reputation – ours and our clients. That’s why we foster a culture that protects, preserves, and enhances our reputation. With your help, we will distinguish Deloitte as the clear leader in professional services, making us the first choice for clients and talent.

The Independence & Conflicts Network (ICN) team performs a critical consultative, quality-assurance and risk management function for the Deloitte US Firms, helping the organization remain unbiased and free from conflicts-of-interest, in fact and appearance, when providing service to attest/audit clients. Independence requirements are defined by specific sets of policies, externals rules, and regulations, so maintaining both the independence of the Deloitte US Firms and personal independence is essential to the business and reputation of Deloitte. This position offers a dynamic work environment which is driven by changing financial instruments and the need for responsiveness to regulatory change. The Analyst will be expected to gain a solid understanding of financial relationships and independence policies. The analyst will work with other departments within the Independence & Conflicts Network, end users (Deloitte professionals with independence requirements) and numerous outside brokerage firms that participate in our import program.