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Corporate Finance Compliance Analyst

Our Deloitte Strategy & Transactions team helps guide clients through their most critical moments and transformational initiatives. We offer comprehensive end-to-end support and advisory services, covering areas such as valuation modeling, cost optimization, restructuring, business design and transformation, infrastructure and real estate, mergers and acquisitions (M&A), and sustainability. The team works closely with clients at every stage of their journey, helping them navigate challenges, avoid financial pitfalls, and implement practical solutions before, during, and after major transformational projects or transactions creating lasting impact.

Deloitte Corporate Finance LLC (DCF) is seeking a Compliance Analyst to join its team. The ideal candidate has in-depth knowledge of broad compliance matters relating to broker dealers and is a strong critical thinker and problem solver who enjoys working in a collaborative but independent team environment. This position will help mitigate compliance related risk and exposure and will work with internal teams to drive a strong culture of compliance.

Work you'll do

The Compliance Analyst will assist the DCF Compliance Department in managing a multitude of requirements associated with maintaining the compliance program for DCF. The candidate should be self-motivated and able to simultaneously manage multiple, time-sensitive tasks.

Additional responsibilities include but are not limited to:

• Support DCF compliance strategic initiatives
• Proactively assist in the identification and mitigation of industry-wide and Firm-specific risks
• Assist with review of compliance monitoring and testing program
• Assist with maintaining Firm and individual registration requirements with FINRA
• Assist with the onboarding and offboarding of DCF professionals
• Assist in the development and delivery of compliance training
• Review various engagement records throughout the life cycle of a deal
• Assist with the review of employee trading activity in accordance with FINRA Rule 3210
• Coordinate review and diligence of outside business activities and private securities transactions in accordance with FINRA Rules 3270 and 3280
• Assist with research and data collection required ahead of branch and non-branch office inspections and audits
• Assist with the creation of internal procedures, FAQs, email updates and other communications
• Assist with the cross-border engagement process and related communications
• Keep abreast of changing regulatory environment for proposed rules, guidance and industry trends which may affect the Firm and require updates to its compliance program

The team

Deloitte Corporate Finance LLC ("DCF") is a rapidly growing middle-market investment bank headquartered in Charlotte with offices in New York, Chicago, Dallas, and Los Angeles. The firm advises on a variety of transactions for private equity groups and public and private corporations, including mergers and acquisitions and the raising of private capital. Deloitte Corporate Finance serves all major sectors out of Business and Financial Services, Consumer and Retail, General Industrials, Healthcare & Life Sciences, and Technology, Media, & Telecom industry groups. Learn more about our Corporate Finance practice

Qualifications:

Required:

• Bachelor's Degree
• 2+ years of experience working in regulatory and/or compliance driven environment. Securities Industry Essentials (SIE) and FINRA Series 7 license required or must obtain within 60 days of hire
• Familiarity with electronic surveillance and brokerage platforms and FINRA Gateway preferred
• High proficiency with MS Office suite of products
• Discretion and the ability to handle sensitive information on a confidential basis
• Ability to collaborate in a team environment across departments and seniority levels while employing professionalism and collegiality
• Ability to travel 30%, on average, based on the work you do
• 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:

• Evidence of strong verbal and written communication skills
• Strong attention to detail

The wage range for this role 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 $76,725 to $134,300.

Information for applicants with a need for accommodation: https://www2.deloitte.com/us/en/pages/careers/articles/join-deloitte-assistance-for-disabled-applicants.html