Trading Compliance Manager

Trading Compliance Manager

Deloitte & Touche LLP (AERS) helps organizations identify and manage both risks and opportunities to improve business performance, strengthen controls, and enhance corporate governance. Our practice combines our knowledge and experience in the areas of financial reporting, risk management, and compliance to help address our clients' most important issues. We're committed to delivering integrated services with a focus on value and quality.

TheBusiness Risk ("BR") service area is comprised of professionals that possess competency and experience in the areas of risk management, business and operational processes, internal auditing, financial reporting and other internal controls, and regulatory compliance. Business risk professionals use these skills to assess, analyze, and improve the effectiveness and efficiency of governance, financial and operational control processes, offer recommendations to improve operations, and assist clients with enterprise risk and compliance activities.

Governance, Regulatory & Risk Strategies (GR&RS) helps organizations and their boards govern and manage their enterprise-wide business, technology, financial and regulatory risks and compliance on a sustained basis. Assist clients in assessing their enterprise-wide risks and help them develop a sustainable compliance and risk management program by coordinating the utilization of people, process and technology to improve effectiveness and manage costs. The services/solutions we provide include:

Governance Services
Enterprise Risk Management Services
Regulatory & Compliance Services


We are currently seeking Managers with strongtrading 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


Manager
Job Duties:
- Understand clients' business environment and trading compliance management approaches
- Help deal with issues related to the Volcker Rule.
- 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 staff 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 and engagement planning, economics, and billing
- Assist in retention of professionals
- Provide on the job training to team members and participate in training efforts
- Play substantive role in enhancing relationships with Deloitte Audit, Tax & Consulting professionals
- Identify opportunities to cross-sell other services
- Assist merger and acquisition teams in assessing a company's regulatory environment
- Demonstrate a general 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 basic compliance management approaches
- Participate in proposal development efforts
- Participate in "add-on" sales to client
- Membership and visibility in professional & civic organizations
Qualifications:
- 5+ years of experience in the area of compliance trading ong background in trading; properietarytrading.
- Knowledge in any of the following areas strongly preferred: trade reporting and trading desk compliance, sales practice compliance, surveillance and supervision, documenting written supervisory procedures, customer suitabilityand/or product suitability
- Regulatory expertise in sales practice, customer suitability and/or product suitability, and middle and back office compliance expertise preferred
- Management experience or exposure with regulatory and compliance risk includinginteracting with Senior Management and the Board of Directors
- Regulatory experience with SEC, FINRA, NYSE, CFTC or state(s) securities division strongly desired
- Ability to excel in a team-based environment
- BA/BS, Accounting/Finance Majors desired
- Certifications desired (e.g., former FINRA Series 6, 7, 9, 10, 24 or 26 a plus)
- Ability to play a lead role in designated tasks of the project team in gathering, organizing and analyzing data
- 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 travel extensively (75+%)


About Deloitte

Deloitte refers to one or more of Deloitte Touche Tohmatsu, a Swiss Verein, and its network of member firms, each of which is a legally separate and independent entity. Please see for a detailed description of the legal structure of Deloitte Touche Tohmatsu and its member firms. 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.