Corporate Finance Senior Compliance Analyst

Profile

15,615
Job Information
Deloitte
Corporate Finance Senior Compliance Analyst
in
Charlotte
North Carolina
Corporate Finance Compliance Senior Analyst
Deloitte Corporate Finance LLC is seeking a compliance professional to join our team. We are targeting critical thinkers and problem solvers who want to join a collaborative, energetic team. This individual will be responsible for analyzing trade reports, reviewing brokerage statement and employee documentation, procedural testing, and writing/updating policy and procedures. This position will help mitigate compliance related risk and exposure and work with internal teams to promote a culture of compliance.
Work you’ll do
The analyst will assist the Deputy Chief Compliance Officer in managing a multitude of requirements associated with maintaining compliance for Deloitte Corporate Finance. The analyst will work with team members to review employee trade records and ensure proper record keeping. This individual must be knowledgeable about the current regulatory environment and stay up to date regarding compliance changes.
In addition, the analyst will:
Review and analyze trade exception reports and monitor trading activity
Identify, document and follow up on potential trade violations
Review, diligence, and reconcile outside business activities and private securities transactions
Assist with preparation and execution of annual branch office inspections
Assist in the preparation and response to regulatory examinations/inquiries, internal and/or external auditors
Assist in the planning and execution of Annual Compliance Meeting, Annual Certifications and additional trainings
Assist the team with AML surveillance and responsibilities
Review and analyze deal documentation throughout the life of a deal
Maintain, amend, self-audit, and update the Written Supervisory Procedures & Compliance Manual throughout the year
Assist with the creation of internal procedures, FAQs, email updates and other communications
Maintain and continue to develop an understanding of applicable regulatory rules, amendments, and updates
Qualifications:
Required:
Bachelor’s Degree
Minimum 3 years of experience in the area of corporate finance or investment banking compliance
Series 7 and/or Series 24 licenses
Dependable, self-starter, and detail oriented
Proficient with firm and individual licensing on Web CRD
Proficient in Microsoft Word, Excel and PowerPoint
While 10-30% of travel is a requirement of the role for branch inspections, due to COVID-19, non-essential travel has been suspended until further notice
Exposure with regulatory and compliance risk including interacting with Senior Management
Ability to learn new software quickly and efficiently
The team
Our Corporate Finance practice operates through Deloitte Corporate Finance LLC (DCF), a broker-dealer registered with the U.S. Securities and Exchange Commission (SEC) and member of theFinancial Industry Regulatory Authority (FINRA) (****and theSecurities Investor Protection Corporation (SIPC) (****We offer sophisticated investment banking services to companies of various sizes —large corporations pursuing middle-market deals and mid-sized companies engaged in “life event” transactions. An in-depth understanding of the M&A landscape, market experience, and access to our global network of advisors means we have the capabilities to help clients confidently pursue strategic transactions in both domestic and global markets – this includes managing the entire M&A lifecycle. Working with our clients to develop growth strategies based on their organizational goals, our services are designed to help clients be prepared to capitalize on opportunities during the merger, acquisition or divestiture process.Learn more about Deloitte Advisory’s Mergers and Acquisition practice. (****How you'll grow
At Deloitte, our professional development plan focuses on helping people at every level of their career to identify and use their strengths to do their best work every day. From entry-level employees to senior leaders, we believe there’s always room to learn. We offer opportunities to help sharpen skills in addition to hands-on experience in the global, fast-changing business world. From on-the-job learning experiences to formal development programs at Deloitte University, our professionals have a variety of opportunities to continue to grow throughout their career. Explore Deloitte University, The Leadership Center. (****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. (****Deloitte's culture
Our positive and supportive culture encourages our people to do their best work every day. We celebrate individuals by recognizing their uniqueness and offering them the flexibility to make daily choices that can help them to be healthy, centered, confident, and aware. We offer well-being programs and are continuously looking for new ways to maintain a culture where our people excel and lead healthy, happy lives. Learn more about Life at Deloitte. (****Corporate citizenship
Deloitte is led by a purpose: to make an impact that matters. This purpose defines who we are and extends to relationships with our clients, our people and our communities. We believe that business has the power to inspire and transform. We focus on education, giving, skill-based volunteerism, and leadership to help drive positive social impact in our communities. Learn more about Deloitte’s impact on the world. (****Recruiter tips
We want job seekers exploring opportunities at Deloitte to feel prepared and confident. To help you with your interview, we suggest that you do your research: know some background about the organization and the business area you’re applying to.Check out recruiting tips from Deloitte professionals. (****Category: Mergers & Acquisitions
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. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.

Company info

Sign Up Now - FinancialServicesCrossing.com