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Deloitte Sr. Consultant/Manager, Investment Management - Regulatory & Operations Risk in Princeton, New Jersey

Powered by Deloitte s Risk 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 investment managers; asset servicers; exchanges; clearing houses; depositories and custodians, including companies in commodities-driven businesses.

Deloitte s Investment Management Advisory Practice

We are global leaders in providing professional services to the asset management and wealth industries. We work with asset management and wealth organizations to address a range of critical issues brought on by regulatory changes, competition, globalization, advances in technology, and the changing demands of their customer base. Our cross-functional industry group is comprised of more than 2,500 partners, managers and staff, providing a broad spectrum of services to a broad range of global organizations. Our clients include independent asset managers, diversified financial institutions, broker-dealers, wealth managers, mutual funds, private fund advisers (hedge funds and private equity funds), fund administrators, prime brokers, transfer agents, pension funds, fund of funds, family offices, endowments, and foundations. The unique strength of Deloitte lies in our ability to address industry issues by aligning the breadth of our capabilities to offer comprehensive solutions to our clients. We are a recognized leader in helping clients solve complex business problems.

Additional Practice highlights include:

  • We serve 19 of the top 20 global asset managers.

  • No. 1 national market share of all private equity buyout funds

  • We serve seven of the 10 largest hedge funds, seven of the top-10 U.S. Funds of funds, and upwards of 40% of the top-100 hedge funds

Serve as corporate and/or mutual fund auditor to eight of the top 20 U.S. Investment management complexes and provide business advisory services to 17 of the top 20

Regulatory and Operations Risk

The focus of this service offering is to help investment management firms and their service providers address the challenges of the continuously evolving regulatory environment. Our professionals have served in senior legal, regulatory and compliance roles at leading investment management and wealth management organizations, regulatory bodies and law firms. Our devotion to serving traditional investment managers provides us perspective that allows us to offer our clients access to the latest thinking, solutions and leading industry practices. Whether you need to implement a new rule, design and implement a new, or assess and refine an existing, compliance program, or investigate and remediate a regulatory matter we can assist you at any point in your organizational life cycle. We are committed to delivering integrated services with a focus on value and quality.

Sample service offerings include:

  • Assessment of governance structure & control environment

  • Assess existing governance structure and control environment

  • Assist with developing and/or enhancing governance framework to streamline the oversight and reporting activities

  • Assist with developing a risk management framework to identify, measure, monitor, and control risks associated with the adviser s investment activities

  • Assist with the development of policies and procedures and remediation of regulatory matters

  • Assess technology systems used to facilitate operations/compliance activities

  • Adviser site visits/operational due diligence

  • Assist with the development and/or enhancement of oversight frameworks

  • Conduct due diligence visits to assess operational and compliance risks and related control environment

  • Compare practices in light of leading industry practices and applicable regulatory requirements

  • Assist with the design and development of materials (e.g., meeting agenda, pre-visit questionnaire, etc.) for use in connection with due diligence visits

  • Mock regulatory inspection

  • Assess existing policies, procedures and practices in light of applicable regulatory requirements to identify potential gaps and opportunities for enhancements

  • Interview personnel to gage their understanding of regulatory and compliance responsibilities and obtain understanding of existing procedures and controls

  • Perform analytic testing to assess effectiveness of compliance program

  • Provide feedback to senior management to assist with developing and/or enhancing regulatory and compliance control activities

  • Compliance program assessment

  • Evaluate investment advisers compliance programs, including policies and procedures, against relevant regulatory requirements and leading industry practices

  • Assess design of testing protocols and control environment

  • Investment compliance monitoring

  • Support and manage selection and implementation of investment compliance monitoring system

  • Analyze contractual documentation to identify and capture investment restrictions

  • Leverage proprietary technology solution

  • Assist with developing policies, procedures, and workflows to facilitate investment compliance monitoring

  • Investigations and Remediations

  • Assess operating environment in connection with regulatory focus areas (controls, processes, policies, procedures, conflicts of interest, etc.)

  • Perform forensic testing and investigations

  • Calculate investor harm over a broad range of scenarios


Candidates will have exceptional records of professional achievement, investment management industry experience, with an emphasis on regulatory and compliance matters, and demonstrate the capacity for constant development. Candidates should have the ability to motivate others, communicate complex ideas clearly, win the respect of clients and colleagues, and work both independently and as part of a team. Equally important are analytical and problem-solving skills combined with exceptional business acumen, and complex problem-solving abilities across operational, regulatory, organizational and strategic matters. Additionally, a candidate must possess as an aptitude for sales and marketing support to secure business and regulatory consulting engagements.

The core value of our advisory practice is founded on the strength, integrity and capability of our professionals. Candidates joining our practice should possess intellectual curiosity, creativity, and critical thinking in addition to the qualifications below:


  • BA/BS in business administration, finance, accounting or related field

  • At least 3 years of industry or consulting experience in an institutional asset manager, mutual fund company, wealth manager, regulatory agency, or consulting firm with a clear record of expertise, accomplishment and impact

  • Knowledge of applicable industry regulations (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940, etc.) in the investment management industry and a wide range of investment products including mutual funds, wrap programs, alternative investments, exchange traded funds, derivatives, structured products, hedging strategies, derivative operations & processing, plus familiarity with a project management framework

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

  • The ability to support 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.

  • Must be willing to travel up to 100%And a combination of:

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

  • Experience in the production and maintenance of regulatory disclosures and reporting (e.g., Form ADV, Form PF, Form NPort)

  • Knowledge of various investment business models such as wealth management, asset management, retail and prime brokerage, and mutual funds.

  • Familiarity with compliance monitoring systems such as: Charles River, Linedata, Bloomberg, etc.

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

  • Must be legally authorized to work in the United States without the need for employer sponsorship, now or at any time in the futur e.

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. From entry-level employees to senior leaders, we believe there s 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


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. at

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.

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.