Services Associate, Risk & Compliance

About the Role

The Services Associate, Risk & Compliance (Tracking & Trading/Broker Data Import Program) on the Independence & Conflicts Network team is 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, the Tracking & Trading System.

Key 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.
• Assist 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.

Requirements & Tech Stack

• Microsoft Excel
• Microsoft PowerPoint
• Microsoft Word

Qualifications

• Bachelor's degree.
• 1+ years of experience in a large corporate environment or professional services firm.
• 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.
• Ability to travel 0-10%, on average.

Preferred Qualifications

• Experience using internal compliance monitoring systems and data feed processing.
• Strong process improvement, critical thinking, and interpersonal skills.
• Solid working knowledge of various financial instruments/markets.
• Background or interest in compliance.
• 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.