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.
Team
Risk & Brand Protection (R&BP)
Independence & Conflicts Network
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.
Responsibilities
See Work you'll do above.
Requirements
See Qualifications above.
Skills
See Qualifications above.
Benefits
See Pay above.
Schedule
Not specified
Pay
Not specified
Team
See Team above.