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| BR GRR Regulatory Operations CT Open (J#39574) Title: BR GRR Regulatory Operations Company: Deloitte Location: NE preferably (NY, CT or NJ) GRR, Regulatory and Compliance Services Industry - FSI, Securities Location: NE preferably (NY, CT or NJ) OPERATIONS FOCUS We are currently seeking Experienced Consultants or Managers with securities operations experience to sell and deliver value added securities regulatory services. We seek a specialized combination of operations and regulatory skills including front, middle and back office operations; trade flow; settlement and clearance; operations control; and other general brokerage expertise. We also seek candidates who have experience with business process and technology reengineering efforts, including configuring and implementing operational infrastructures. Service areas include: Assist clients in responding to regulatory inquiries and enforcement actions Performing departmental assessments within the operations areas Assessing/performing reconciliations related to corporate actions, bank accounts, securities received/delivered Assisting clients in development of automated reconciliations Assessing integrations and providing strategic advice related to operational processes Assisting clients with documenting or assessing desktop operational and supervisory procedures Assisting with the identification, development and/or implementation of new processes as a result of new regulations Assisting management with the preparation of regulatory applications and related processes and to serve as a operations/regulatory liaison Assisting merger and acquisitions teams with performing an operational assessment of the firm being analyzed Assisting with defining business and technology requirements including: vendor identification, evaluation and selection; testing; and potential process changes to assist with front, middle and back office operations Minimal Job Duties: Consultant (Operations Focus) - Understand clients' business environment and operational management approach - Execute operations assessments based upon understanding the client's business, applicable rules to that business, and then assessing compliance with such - Assist in the selection and tailoring of approaches, methods and tools to support service offering or industry projects - Participate in executing decisions made by engagement management and seek to understand the broader impact of current decisions - Generate observations and recommendations based upon applicable rules and successful business practices in order to assist a securities firm effectively meet its regulatory responsibilities - Generate innovative ideas and challenge the status quo - Use technology-based tools or methodologies to review, design and/or implement products and services - Participate in on the job training - Evaluate, counsel, mentor and provide feedback on performance of others - Play role in enhancing relationships with Deloitte Audit, Tax and Consulting professionals - Participate in a team in support of a merger and acquisition team in assessing a company's regulatory environment - Demonstrate knowledge of market trends, competitor activities, Deloitte products and service lines - Build and nurture positive working relationships with clients with the intention to exceed client expectations - Understand clients' business environment and risk management approaches - Participate in proposal development efforts and closing sales opportunities - Assist in the identification of "add-on" sales efforts - Play role in developing a strong relationship with internal Deloitte Resources - Qualifications: - 3 years experience in the area of securities operations (industry, another consulting firm, regulatory agency) Experience with operational and regulatory risk including interacting with Senior Management Regulatory knowledge in front, middle and back office compliance expertise preferred General knowledge of FOCUS reporting, net capital, customer reserve (inclusive of customer protection) preferred Knowledge in at least one of the following areas required: corporate actions, trade flow, settlement and clearance, securities lending, technology supporting front, middle and back office operational activities Securities industry experience in an operational role a plus Operational/Regulatory Experience with SEC, FINRA, NYSE, CFTC or state(s) securities divisions strongly desired Certifications desired (e. More... | |||
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