Position Summary
Compliance and Risk Management
Regulatory Legal and Support Deloitte Risk and Financial Advisory helps clients manage strategic, financial, operational, technological, regulatory and legal risk to enhance enterprise value, while our experience in mergers and acquisitions, fraud, litigation, and reorganizations helps clients emerge stronger and more resilient. Our Regulatory and Legal Support practice is a leader in helping clients and their boards govern and manage their enterprise-wide business, technology, financial, regulatory and legal risks and compliance on a sustained basis. As one of the leading risk management consulting practice of its kind, we provide services in the Regulatory & Compliance space covering Banking, Securities and Investment Management. Under Regulatory Risk and Capital services, we help clients to identify the regulatory changes that impact their business and to implement effective and efficient processes to manage regulatory, capital and liquidity risks. Also includes services to respond to and remediate regulatory failures when they occur.
Work you’ll do
Essential job requirements include:
• Excellent understanding of the U.S. or International Banking and Securities industry and experience working with a financial services consulting organization or a large bank; broker-dealer
• Experience in Trade Life Cycle of Securities, Order/Execution Management Systems, Algorithmic Trading etc.
• Exposure in one or more of the key areas in Capital Markets and Asset Management domain, such as Investment Compliance, Trade and Market Surveillance, Conduct Risk, Security Operations, Wealth management operations etc.
• Experience of working or a good knowledge of regulations pertaining to the U.S. or International Banking or Capital Markets Regulators (e.g. SEC, FINRA, DOL, FCA, CFTC, EBA etc.)
Good Knowledge of financial products across asset classes - Equities, Fixed Income, Currency and Derivatives
• Demonstrate ability to work with subject matter experts in key areas of risk management to perform capability gap assessment, design a recommended future state, and outline an implementation strategy
• Experience in driving large transformation/implementation and expertise in all aspects of requirement gathering, data analysis, and gap analysis including analyzing requirements and breaking them down into actionable functional specifications, converting business requirements into test cases and coordinating testing
• Ability to identify and evaluate complex business risks, internal controls which mitigate risks, and related opportunities for internal control improvement is a plus
• Good project management skills and knowledge of MS Project or similar tools is preferred
Desired Technology Expertise
• Demonstrable knowledge and expertise of, and exposure to, Trade Life Cycle / Order Management System preferably Charles River
• Good understanding of Business Process Management & implementation of workflow tools on popular vendors such as SalesForce, ServiceNow, Appian, Pega, etc
• Execution of software development projects involving external product vendor teams and diverse technical teams
• Prowess to speak and discuss requirements and their solutions with Front office users such as PM and Traders
• Technical skills such as knowledge of SQL, Agile methodology, Digitization with AI, ML, NLP, Cloud, Workflow tools etc.
Aptitude
• Should have natural interest in learning new things proactively and keep updated on the regulations and industry happenings
• Team Player – Should be a compatible team player and focus on the collective goal
• Problem solving techniques - assesses a series of solutions in order to choose the most appropriate
for the given problem, revaluates the progress for the chosen solution over time • Attention to detail - retains concentration on even the most tedious of tasks to ensure an absence of defects
• Communication skills - can understand, and be understood, when discussing business and technical issues
• Research skills - uses reference materials to find solutions, prompt innovation and aid personal development
The Team
The regulatory landscape continues to increase in complexity across the globe. Our Regulatory & Legal Support team leverages deep knowledge of industry-specific regulations with demonstrated methodologies to design, assess, and transform the processes, controls, and infrastructure needed to mitigate risk and achieve compliance. Our capabilities include designing the target operating model, assessing policies and procedures, testing and monitoring on a managed services and project basis, assessing risk, reporting and communicating, as well as building the analytics and reporting structures to allow for ongoing measurement and monitoring. We use proprietary tools, technologies and accelerators to allow clients a more proactive approach to managing risk and achieving regulatory compliance. We design comprehensive compliance programs and advise clients on how to effectively navigate a regulatory investigation or inquiry.
Qualifications Required
• Master’s degree in Finance
• Bachelor’s degree in Engineering, or other related technical discipline
Preferred
• FRM and/or CFA certification
• Demonstrable knowledge of, or exposure to, electronic trading platforms
• Certifications in Order Management Systems, Business Process management systems
Recruiting tips
Benefits
At Deloitte, we know that great people make a great organization. We value our people and offer employees a broad range of benefits. Learn more about what working at Deloitte can mean for you.
Our people and culture
Our purpose
Professional development
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