Deloitte Corporate Finance - Senior Compliance Analyst

Deloitte • Arlington, VA

1d

About The Position

Corporate Finance Compliance Analyst Our Deloitte Strategy & Transactions team helps guide clients through their most critical moments and transformational initiatives. We offer comprehensive end-to-end support and advisory services, covering areas such as valuation modeling, cost optimization, restructuring, business design and transformation, infrastructure and real estate, mergers and acquisitions (M&A), and sustainability. The team works closely with clients at every stage of their journey, helping them navigate challenges, avoid financial pitfalls, and implement practical solutions before, during, and after major transformational projects or transactions creating lasting impact. Deloitte Corporate Finance LLC (DCF) is seeking a Compliance Analyst to join its team. The ideal candidate has in-depth knowledge of broad compliance matters relating to broker dealers and is a strong critical thinker and problem solver who enjoys working in a collaborative but independent team environment. This position will help mitigate compliance related risk and exposure and will work with internal teams to drive a strong culture of compliance. Work you'll do The Compliance Analyst will assist the DCF Compliance Department in managing a multitude of requirements associated with maintaining the compliance program for DCF. The candidate should be self-motivated and able to simultaneously manage multiple, time-sensitive tasks.

Requirements

• 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

Nice To Haves

• Evidence of strong verbal and written communication skills
• Strong attention to detail

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

Benefits

• At Deloitte, we know that great people make a great organization. We value our people and offer employees a broad range of benefits.
• From entry-level employees to senior leaders, we believe there's always room to learn. We offer opportunities to build new skills, take on leadership opportunities and connect and grow through mentorship. From on-the-job learning experiences to formal development programs, our professionals have a variety of opportunities to continue to grow throughout their career.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees