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Tracking and Trading Compliance Analyst

Company: Deloitte
Location: Sacramento
Posted on: June 24, 2022

Job Description:

Independence & Conflicts Network (ICN) - Associate Compliance Analyst ( Personal Independence Monitoring - Systems and Processes )

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? Then our ICN Personal Independence Monitoring - Systems and Processes team may be the right fit for you!

Work you'll do

As an Associate Compliance Analyst on the 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 professionals' compliance with independence policy
  • Develop an understanding of regulatory independence policies (SEC and PCAOB)
  • Work within a team located in the US and India
  • Utilize our personal independence system to monitor and help professionals resolve outstanding compliance requirements
  • Become familiar with Deloitte's internal Independence policies as it relates to personal financial relationships
  • Utilize reports, databases and macros to efficiently monitor compliance requirements
  • Assist Partners, Principals, and employees with understanding and maintaining their portfolio in our personal independence monitoring system so that it accurately reflects their Financial Relationships
  • Research financial instruments using Refinitiv Eikon and other market tools
  • Coordinate with other ICN teams to ensure that our internal customers are served seamlessly
  • Work with large data sets in order to present findings to leadership
  • Develop and analyze statistics for ICN Managers and Senior Managers
  • Work on ad hoc requests as directed by ICN 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) 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)
    • 1-2 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
      • Familiarity with various research tools (Refinitiv Eikon or Bloomberg)
        For individuals assigned and/or hired to work in Colorado or Nevada, Deloitte is required by law to include a reasonable estimate of the compensation range for this role. This compensation range is specific to the State of Colorado and the State of Nevada and takes into account the wide range of factors that are considered in making compensation decisions including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs. The disclosed range estimate has not been adjusted for the applicable geographic differential associated with the location at which the position may be filled. At Deloitte, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. A reasonable estimate of the current range is $48790 to $71880.

        You may also be eligible to participate in a discretionary annual incentive program, subject to the rules governing the program, whereby an award, if any, depends on various factors, including, without limitation, individual and organizational performance.

Keywords: Deloitte, Sacramento , Tracking and Trading Compliance Analyst, Accounting, Auditing , Sacramento, California

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