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AERS, Advisory, Business Risk GRR, Regulatory and Compliance Services Industry - FSI, Securities Location: NE preferably (NY, CT or NJ)
SALES COMPLIANCE FOCUS
We are currently seeking Senior Consultants, Managers and Senior Managers with regulatory compliance experience to sell and deliver value added securities regulatory services.
We seek a specialized combination of compliance skills including sales practice; middle and back office compliance; trade monitoring and reporting compliance; and other general brokerage compliance expertise. We also seek candidates who have experience with business process and technology reengineering efforts, including configuring and implementing compliance infrastructures.
Service areas include: · Assist clients in responding to regulatory inquiries and enforcement actions · Mock compliance examinations/reviews · Performing compliance and supervisory process reviews · Compliance assessments for either specific rule compliance or a departmental assessment with considerations given to the various rules associated with that department · Assessment/integration/strategic advice related to compliance and reporting processes · Assisting clients with documenting or assessing desktop, operations, and supervisory controls processes based on applicable compliance and regulatory requirements · Trade reporting assessments · Assisting with the identification, development and/or implementation of new processes as a result of new regulations · Assisting management with the preparation of regulatory applications and related processes and to serve as a regulatory liaison · Defining books and records requirements · Assisting merger and acquisitions teams with performing a compliance assessment of the firm being analyzed · Assisting with defining business and technology requirements including: vendor identification, evaluation and selection; testing; and potential process changes to assist with compliance and supervision
Job Duties: Senior Manager (Sales Compliance Focus) - Understand clients' business environment and complex compliance management approaches - Lead and execute compliance assessments based upon understanding the client's business, applicable rules to that business, and then assessing compliance with such - Assist in the selection and tailoring of approaches, methods and tools to support service offering or industry projects - Actively participate in decision making with engagement management and seek to understand the broader impact of current decisions - Generate observations and recommendations based upon applicable rules and successful business practices in order to assist a securities firm effectively meet its regulatory responsibilities - Execute advanced services and supervise engagement teams in delivering complex services - Generate innovative ideas and challenge the status quo - Facilitate use of technology-based tools or methodologies to review, design and/or implement products and services - Play substantive/lead role in engagement planning, economics, and billing - Play substantive role in the training and development of staff through on the job training - Evaluate, counsel, mentor and provide feedback on performance of others - Play substantive/lead role in retention of professionals and in building staff complement, mix, and recruiting - Play substantive role in enhancing relationships with Deloitte Audit, Tax and Consulting professionals - Lead a team in support of a merger and acquisition team in assessing a company's regulatory environment - Identify opportunities to cross-sell other services - Demonstrate in depth knowledge of market trends, competitor activities, Deloitte products and service lines - Build and nurture positive working relationships with clients with the intention to exceed client expectations - Understand clients' business environment and complex risk management approaches - Identify, lead, and participate in proposal development efforts and closing sales opportunities - Identify and lead "add-on" and new sales efforts - Proactive leadership of market development initiatives - Proactive leadership of industry driven activities - Membership and visibility in professional & civic organizations - Play substantive/lead role in developing a strong relationship with internal Deloitte Resources - 10 -15 years experience in the area of securities compliance (industry, another consulting firm, regulatory agency) - Director of Compliance or Chief Compliance Officer a plus - Management experience with regulatory and compliance risk including interacting with Senior Management and the Board of Directors - BA/BS, Accounting/Finance Majors desired - Regulatory expertise in sales practice, customer suitability and/or product suitability, and middle and back office compliance expertise preferred - General knowledge of FOCUS reporting, net capital, customer reserve (inclusive of customer protection) preferred - Knowledge in any of the following areas strongly preferred: trade reporting and trading desk compliance, sales practice compliance, surveillance and supervision, customer suitability and/or product suitability - Securities industry experience in a compliance or regulatory role strongly desired - Regulatory Experience with SEC, FINRA, NYSE, CFTC or state(s) securities divisions strongly desired - Certifications desired (e.g., former FINRA Series 6, 7, 9, 10, 24 or 26 a plus) - Demonstrated ability to write reports and to lead presentations - Demonstrated success in market expansion and relationship management activities - Strong project management skills, communication skills (both verbal and written), creativity/problem solving, ability to adapt to changing environments, ability to balance multiple tasks and responsibilities - Ability to excel in a team-based environment - Ability to travel extensively
About Deloitte As used in this document, "Deloitte" means Deloitte LLP and its subsidiaries. Please see for a detailed description of the legal structure of Deloitte LLP and its subsidiaries. Deloitte LLP and its subsidiaries are equal opportunity employers.
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