Deloitte Sr. Manager, Regulatory & Compliance, Banking & Securities in New York, New York

Deloitte is one of the leading professional services organizations in the United States, specializing in audit, tax, consulting and financial advisory services with clients in more than 20 industries. We provide powerful business solutions to some of the world s most well-known and respected companies, including more than 75 percent of the Fortune 100.At Deloitte, you can have a rewarding career on every level. In addition to challenging and meaningful work, you ll have the chance to give back to your community, make a positive impact on the environment, participate in a range of diversity and inclusion initiatives, and find the support, coaching, and training it takes to advance your career. Our commitment to individual choice lets you customize aspects of your career path, your educational opportunities and your benefits. And our culture of innovation means your ideas on how to improve our business and your clients will be heard.

Are you looking to manage large engagements supporting Chief Compliance Officers (CCO s), Chief Risk Officers (CRO s) and regulatory leaders ensure compliance with the ever changing regulatory environment within the Financial Services industry? Our regulatory and compliance team leverages deep knowledge of industry-specific regulations with demonstrated methodologies to design, assess, and transform the processes, controls and infrastructure needed to mitigate risk and achieve compliance.

Be a leader to a team responsible for designing the target operating model, assessing policies and procedures, testing and monitoring on a managed services and project basis, assessing risk, reporting and communicating, as well as building the analytics and reporting structures to allow for ongoing measurement and monitoring. Help us design proprietary tools, technologies and accelerators to allow clients a more proactive approach to managing risk and achieving regulatory compliance. We design comprehensive compliance programs and advise clients on how to effectively navigate a regulatory investigation or inquiry.

Work you ll do

As part of the R&C Banking & Securities team, your Senior Manager responsibilities will include:

  • Network and sell our services and lead proposal development efforts

  • Membership and visibility in professional & civic organizations

  • Participate and actively support activities related to regulatory authorities

  • Make decisions on the approaches, methods, and tools and accelerators to support service offering or industry specific projects

  • Lead problem solving as part of the engagement management team and seek to understand the broader impact of current solutions

  • Generate innovative ideas and challenge the status quo

  • Facilitate use of technology-based tools for review, design, and/or implementation of products and services

  • engagement planning, economics, and billing

  • Build internal relationships with Deloitte & Touche and Deloitte Tax LLP professionals & identify opportunities to cross-sell other services and improve engagement profitability

  • Keep the team up to date on market trends, competitor activities, Deloitte & Touche LLP products and service lines

  • Build and nurture positive working relationships with clients and exceed client expectations

  • Understand clients' business environment and the different approaches to risk management

The team

Against an increasingly complex regulatory landscape, we help clientsmitigate risk and achieve compliance. We do this by leveraging our deep knowledge of industry regulations and proven methodologies to design, assess, and transform their processes. We work with our clients to effectively navigate a regulatory investigation or inquiry, achieving the overall risk profile they need to power their organization forward.Learn more about Deloitte Advisory s Regulatory and Compliance practice.


  • Demonstrated ability to identify, measure, manage, monitor, review, and report on risks

  • Experience integrating and managing risk and compliance-related activities

  • Experience in the creation / build out of compliance and risk enterprise frameworks and discrete programs, e.g. Reg W, CRA, Complaints, etc.

  • Skilled in industry research and benchmarking, performance assessments and development programs

  • 10 years of work experience including a mix of consulting, regulatory, and/or Banking and Securities industry experience

  • BA/BS degree required; advanced degree preferred

  • Prior experience with any of the following activities/roles:

  • Bank and or Securities regulatory agency, preferably as a supervisory examiner for large/regional banks and broker dealers

  • Participate and actively support activities related to regulatory authorities

  • Participate in general bank and securities risk and compliance reviews including: pre-and- post examination activities, compliance and / or operational assessments, compliance testing and monitoring, compliance reporting, and enforcement action support.

  • Familiarity with examination process conducted by: Federal Reserve Bank, OCC, CFPB (Consumer Financial Protection Bureau), and the FDIC.

  • Experience in preparation/filing and/or review/audit of the following bank regulatory reports that are filed with the Federal Reserve

  • Experience with regulatory reporting /financial reporting/accounting processes:

  • Reconciling general ledger and sub-ledger data to regulatory reports

  • Responding to report queries from regulatory authorities

  • Preparation of variance analysis reports to support analytical review and commentary regarding key variances for corresponding reports

  • Review, update, and testing of reporting software logic as required for Finance target model changes, and reporting updates from regulators

  • Documenting policies, procedures, processes, and system flows related to regulatory reporting

  • Research and implementation of new and revised regulatory reporting requirements, as well as the evaluation of regulatory requirements for new products/transactions

  • Testing regulatory reports for accuracy and completeness as part of QA function

  • Experience with Regulatory Capital (Basel compliance)

  • preparing regulatory capital schedules (HC-R and/or RC-R) and reports FFIEC 101 and FFIEC 102

  • analysis of capital components/ratios with regulatory capital

  • Flexibility in learning new topics, handling change and deadlines

  • Ability to travel extensively

Opportunities for career advancement

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 is 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.


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.

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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.

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Category: Accounting & Auditing