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Deloitte · 2 days ago

Deloitte Corporate Finance - Senior Compliance Analyst

Philadelphia, PA

Full-time

Hybrid

Mid, Senior Level

$77K/yr - $134K/yr

2+ years exp

Deloitte is a leading firm in Corporate Finance, helping clients through critical moments and transformational initiatives. They are seeking a Senior Compliance Analyst to assist in managing compliance programs, mitigate risks, and support strategic initiatives within the Compliance Department.

AccountingConsultingFinancial ServicesLegalProfessional ServicesRisk Management

Growth Opportunities

No H1B

Responsibilities

Support DCF compliance strategic initiatives

Proactively assist in the identification and mitigation of industry-wide and Firm-specific risks

Assist with review of compliance monitoring and testing program

Assist with maintaining Firm and individual registration requirements with FINRA

Assist with the onboarding and offboarding of DCF professionals

Assist in the development and delivery of compliance training

Review various engagement records throughout the life cycle of a deal

Assist with the review of employee trading activity in accordance with FINRA Rule 3210

Coordinate review and diligence of outside business activities and private securities transactions in accordance with FINRA Rules 3270 and 3280

Assist with research and data collection required ahead of branch and non-branch office inspections and audits

Assist with the creation of internal procedures, FAQs, email updates and other communications

Assist with the cross-border engagement process and related communications

Keep abreast of changing regulatory environment for proposed rules, guidance and industry trends which may affect the Firm and require updates to its compliance program

Qualification

Securities Industry Essentials (SIE)FINRA Series 7 licenseCompliance monitoringElectronic surveillanceMS Office proficiencyVerbal communicationWritten communicationAttention to detail

Required

Bachelor's Degree

2+ years of experience working in regulatory and/or compliance driven environment. Securities Industry Essentials (SIE) and FINRA Series 7 license required or must obtain within 60 days of hire

Familiarity with electronic surveillance and brokerage platforms and FINRA Gateway preferred

High proficiency with MS Office suite of products

Discretion and the ability to handle sensitive information on a confidential basis

Ability to collaborate in a team environment across departments and seniority levels while employing professionalism and collegiality

Ability to travel 30%, on average, based on the work you do

Must be legally authorized to work in the United States without the need for employer sponsorship, now or at any time in the future