Services Associate, Risk & Compliance (Tracking & Trading/Broker Data Import Program)

Deloitte • Nashville, TN

137d • $51,900 - $95,500 • Hybrid

About The Position

We are seeking a Services Associate who will be responsible for monitoring brokerage account compliance for approximately 75K professionals and the daily import of 20+ broker dealer files into Deloitte’s Independence monitoring system called the Tracking & Trading System. The ideal candidate will be a strong problem solver, with a solid working knowledge of various financial instruments/markets, have a background or interest in compliance and will strive to provide exceptional quality and superior customer service.

Requirements

• Bachelor's degree
• 1+ years of experience in a large corporate environment or professional services firm
• Experience using Microsoft Excel, Microsoft PowerPoint, and Microsoft Word
• Ability to travel 0-10%, on average, based on the work you do
• Limited immigration sponsorship may be available
• Ability to work independently and collaborate as part of a team
• Effective written and verbal communication skills
• Meticulous attention to detail and quality of work product
• Ability to build and sustain professional relationships
• Ability to manage and prioritize multiple tasks in a fast-paced and dynamic environment
• Strong interpersonal skills and professional demeanor
• Ability to meet deadlines
• Ability to provide clear guidance to others

Nice To Haves

• Experience working with securities and financial relationships, including stocks, bonds, mutual funds, and exchange-traded funds
• Knowledge of independence requirements for professional auditing firms
• Prior experience working at a broker dealer or in a compliance role
• In-depth knowledge of financial products and brokerage relationships
• Familiarity with broker data feeds
• Ability to lead projects or workstreams

Responsibilities

• Work closely with outside brokerage firms and Deloitte professionals to support brokerage account compliance activities
• Gain a robust knowledge of Deloitte policies to provide guidance to professionals, resolve customer inquiries, evaluate risk, and determine the permissibility of financial relationships
• Assist partners and employees in understanding compliance requirements for personal financial relationships, with a focus on brokerage accounts
• Research financial products and support decisions on how those products should be monitored within the Tracking & Trading System
• Work with Deloitte professionals to support accurate reporting of financial relationships in internal systems and provide guidance on brokerage account transfers

Benefits

• Professional development opportunities
• Inclusive culture that empowers individuals to be themselves and contribute unique perspectives
• Opportunities to build new skills, take on leadership roles, and grow through mentorship
• On-the-job learning experiences and formal development programs

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level