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Deloitte Sr. Consultant/Manager, Capital Markets / Broker Dealer Market Surveillance in Boston, Massachusetts

Powered by Deloitte sRisk and Financial Advisory s (RFA) industry-leading expertise and technology,our Financial Markets team provides services designed to address operational,technological and regulatory challenges faced by capital markets participants,including: institutional and retail broker-dealers, wealth and investmentmanagers; asset servicers; exchanges; clearing houses; depositories andcustodians, including companies in commodities-driven businesses.

Deloitte sBanking & Capital Markets Advisory Practice

Our cross-functionalindustry group is comprised of more than 2,500 partners, managers and staff,providing a broad spectrum of services to a broad range of globalorganizations. As global leaders in providing professional services tothe securities industry, Deloitte s Banking & Capital Markets AdvisoryPractice works with clients to address a range of critical issues brought on byregulatory changes, competition, globalization, advances in technology, and thechanging demands of their customers. We provide a wide spectrum ofadvisory and consulting services to our clients, who include the world sleading broker-dealers, wealth managers, banks, investment advisers, insurancecompanies, mutual funds, securities exchanges, and other financialinstitutions. The unique strength of Deloitte lies in our ability to addressindustry issues by aligning the breadth of our capabilities to offercomprehensive solutions to our clients. We are a recognized leader in helpingour clients solve complex business problems.

Regulatory & OperationsRisk

Against an increasingly complex regulatorylandscape, Deloitte s Regulatory & Operational Risk team help clients in theirefforts to mitigate risk and achieve compliance. We do this by leveraging ourdeep knowledge of industry regulations and demonstrated methodologies to helpclients design, assess, and transform their processes. We work with our clientsto help them effectively navigate a regulatory investigation or inquiry, and byhelping them to achieve the overall risk profile they need to power theirorganization forward

Work you ll do

Candidates will haveexceptional records of professional achievement, and experience in the securitiesindustry with a specialization in sales and/or trading practices and business oversight.Candidates should also have knowledge of regulatory expectations related toconduct risk management, business supervision and compliance monitoring andsurveillance programs and related tools for broker-dealers. In addition, candidates should have theability to motivate others, communicate complex ideas clearly, win the respectof clients and colleagues, and work both independently and as part of ateam. Equally important are analytical and problem-solving skillscombined with exceptional business acumen, and complex problem-solvingabilities across operational, organizational and strategic matters.Additionally, a candidate must possess as an aptitude for sales and marketingsupport to secure business and technology consulting engagements.

Additional dutiesinclude:

  • Ability to design, implement and assess risk-based programs to detect, prevent and/or mitigate sales and trading practices risk that arises from inadequate or failed internal processes, people, systems or external events

  • Generate risk assessments to define and analyze possible conduct risks and assess the availability and effectiveness of controls (e.g., market manipulation, conflicts of interest, etc).

  • Understand controls needed to mitigate key risks (conduct, market abuse, etc.) and related data requirements

  • Undertake evaluations of existing policies and procedures , and assist clients to enhance them

  • Understand clients' business environment, risk management approaches and internal controls which mitigate risks, and related opportunities for internal control improvement

  • Generate innovative ideas and challenge the status quo

  • Assist in the selection and tailoring of approaches, methods and tools to support service offerings, or industry initiatives, or client projects

  • Facilitate use of technology-based tools or methodologies to review, design and/or implement products and services

  • Contribute to a positive team attitude, building and nurturing positive working relationships with clients with the intention to exceed client expectations

  • Play a role in engagement planning, economics, and billing

  • Participate in developing firm training content

  • Participate in proposal development efforts

  • Participate in "add-on" sales to client and assist in identify opportunities to cross-sell other services

  • Demonstrate a general knowledge of market trends, competitor activities, Deloitte products and service lines

  • Membership and visibility in professional & civic organizations


  • BA/BS in a relevant field

  • At least 3 years of industry or consulting experience in a securities regulator, top-tier investment bank / broker-dealer or consulting firm with a clear record of expertise, accomplishment and impact

  • Knowledge of a wide range of securities products and business lines and the related regulatory framework.Including institutional trading, investment banking, retail operations, back-office operations and regulatory reporting

  • Experience with 1 st line supervision functions and/or 2 nd line compliance and surveillance functions

  • Experience with conduct regulatory guidance, FX Global Code, Senior Management Regime and other accountability frameworks

  • Experience designing and implementing conduct risk management frameworks

  • Experience using, implementing or supporting systems used for: trade surveillance, electronic communications surveillance, electronic recordkeeping (e.g., WORM), employee activity supervision, customer complaints, sales practice supervision, and trade reporting

  • Knowledge of the trading, operations, documentation, settlement and reporting processes, counterparty risk for such securities

  • Demonstrated experience with internal controls, risk assessments, business and operational processes in the financial services industry

  • Full project life cycle skills from the business or technology side where responsibilities included: defining work flows, defining business requirements documents, detailed project planning, data mapping and data migration, defining user test criteria and data, testing, status monitoring, problem tracking and resolution

  • The ability to support or lead proposal development and presentation process

  • Strong oral and written communication skills and the ability to build relationships with clients

  • Advanced aptitude with Microsoft products including Visio, PowerPoint and Excel

  • Technology or product support to front, middle or back office operations including Data management, design, analysis, ETL and testing, systems configuration and implementation, and interface development

  • Experience implementing vendor packages, process mapping and design

  • Experience with business transformation through technological and operational change to support regulatory, risk or strategic initiatives

  • Must be willing to travel up to 50 to 75%

  • Must be legally authorized to work in theUnited States without the need for employer sponsorship, now or at any time inthe future.

How you ll grow

At Deloitte, ourprofessional development plan focuses on helping people at every level of theircareer to identify and use their strengths to do their best work every day.From entry-level employees to senior leaders, we believe there s always room tolearn. We offer opportunities to help sharpen skills in addition to hands-onexperience in the global, fast-changing business world. Fromon-the-job learning experiences to formal development programs at Deloitte University,our professionals have a variety of opportunities to continue to growthroughout their career. Explore Deloitte University, The Leadership Center. at


At Deloitte, we knowthat great people make a great organization. We value our people and offeremployees a broad range of benefits. Learn more about what working at Deloitte canmean for you. at

Deloitte s culture

Our positive andsupportive culture encourages our people to do their best work every day. Wecelebrate individuals by recognizing their uniqueness and offering them theflexibility to make daily choices that can help them to be healthy,centered, confident, and aware. We offer well-being programs and arecontinuously looking for new ways to maintain a culture where our people exceland lead healthy, happy lives. Learn more about Life at Deloitte.

Category: Risk Management

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.