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Job Details

Associate Compliance Analyst Tracking and Trading

Location
Rockville, MD, United States

Posted on
Nov 17, 2021

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76,222
Job Information
Deloitte
Associate Compliance Analyst (Tracking and Trading)
in
Rockville
Maryland
Independence & Conflicts Network (ICN) - Associate Compliance Analyst Tracking & Trading
Are you interested on being on the cutting edge of regulatory compliance? Are you focused on helping others comply with regulations and policies? Are you passionate about research and subject-matter expertise in a professional services environment? Are you interested in gaining exposure to auditor independence rules promulgated by our regulators? Are you excited about building relationships with a network of brokerage firms to assist our professionals in complying with independence rules? Then our ICN Tracking & Trading team may be the right fit for you!
Work you'll do
As an Associate Compliance Analyst on the Tracking & Trading team, you'll be part of a strong and cohesive team where you will use your analytical, research and problem-solving skills to:
Monitor Deloitte professional's compliance with Deloitte reporting, independence and brokerage account specific policies
Monitor the import of 20 broker dealer files into Deloitte's independence monitoring system called the Tracking & Trading System
Utilize the Tracking & Trading System to monitor and help resolve outstanding compliance requirements
Develop an understanding of Deloitte's independence policies
Work with our colleagues in India
Become familiar with Deloitte's internal Independence policies as it relates to personal financial relationships
Utilize reports and macros to efficiently monitor Deloitte professionals' compliance
Work with large data sets in order to present weekly statistics to leadership team
Assist Partners, Principals, and employees with understanding and maintaining their Tracking & Trading portfolio so that it accurately reflects their financial relationships
Coordinate with other ICN teams to ensure that our internal customers are served seamlessly
Work on ad hoc request as directed by management to meet the team's overall objectives
The team
Risk & Brand Protection (R&BP)
At Deloitte, we are stewards of reputation-ours and our clients. That's why we foster a culture that protects, preserves, and enhances our reputation. With your help, we will distinguish Deloitte as the clear leader in professional services, making us the first choice for clients and talent.
Independence & Conflicts Network
The Independence & Conflicts Network (ICN) Personal Consultation team performs a critical consultative, quality-assurance and risk-management function for the Deloitte US Firms, helping the organization remain unbiased and free from conflicts-of-interest, in fact and appearance, when providing service to attest/audit clients. Independence requirements are defined by specific sets of policies, external rules and regulations, so maintaining both the independence of the Deloitte US Firms and personal independence is essential to the business and reputation of Deloitte.
Qualifications
Required:
Bachelors' degree (preferably business, finance or accounting)
0-1 years of relevant experience
Positive customer service attitude and dedication to quality, with a demonstrated attention to detail
Proficient in standard office-productivity tools (Microsoft Excel, PowerPoint, and Word). Microsoft Access and Microsoft Visio a plus
Solid verbal and written communication, research, organizational, analytical, and interpersonal skills
With the support of a team leader, be able to work on multiple initiatives, report and communicate progress
Ability to react positively to an environment where priorities and deadlines can quickly change.
Ability to manage and prioritize time required on activities and be responsive to requests for information
Demonstrate initiative and good judgment.
Ability to effectively work independently, and as part of a team, in a dynamic work environment.
Must be legally authorized to work in the United States without the need for employer sponsorship, now or at any time in the future.
Preferred:
An understanding of Independence requirements for professional auditing firms
Experience working in a large corporation or accounting firm
Strong technical background
A good working knowledge of various financial instruments/markets
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. 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, our professionals have a variety of opportunities to continue to grow throughout their career.
EA
RBP
ExpHire
EA_ExpHire
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.
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.

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