Consultant - Investment Compliance - Investment Management

Consultant - Investment Compliance - Investment Management - Enterprise Operations & Risk

Our Deloitte Regulatory, Risk & Forensic team helps client leaders translate multifaceted risk and an evolving regulatory environment into defensible actions that strengthen, protect, and transform their organization. Join our team and use advanced data, AI, and emerging technologies with industry insights to help clients bring clarity from complexity and accelerate their path to value creation.

Work you'll do

As a Consultant, you will have opportunities to:

• Learn how to identify, evaluate, and prioritize business, operational, regulatory, and technology risks impacting investment compliance programs (pre-trade and post-trade) and help define pragmatic mitigation strategies.
• Support investment managers in strengthening investment guideline and mandate compliance across portfolios, funds, and strategies (e.g., issuer/sector/region limits, concentration, liquidity, derivatives constraints, leverage, eligibility, ESG restrictions where applicable).
• Assist with compliance operating model activities, including rule interpretation, requirements translation into codified rules, governance/attestations, breach management, escalation protocols, and evidence/recordkeeping for audit and examinations.
• Support design and execution of surveillance and monitoring processes, including alert tuning, false-positive reduction, workflow design (case management), and exception reporting to stakeholders.
• Support internal business development initiatives and sales opportunities, including creation of external-facing industry perspectives, lead generation materials, and sales proposals focused on investment compliance modernization.
  
  

The Team

Our Enterprise Operations & Risk offering enables clients to achieve profitable growth and competitive advantage by optimizing "heart of the business" operations. We leverage deep domain expertise to extend enterprise resilience, agility and remediation. Our professionals address client needs which span the organization and impact strategy, operations, performance and reputation.

Qualifications

Required

• Bachelor's degree.
• 2 years of experience in financial services or consulting with exposure to investment management and/or compliance, risk, or controls functions.
• Demonstrated knowledge within asset management, wealth management, hedge funds, private equity, and/or regulatory compliance, including how investment mandates, prospectuses, and client guidelines translate into monitoring obligations.
• Understanding of the investment lifecycle and operational touchpoints that impact compliance (e.g., portfolio construction, trading, allocations, cash/positions, pricing/valuation inputs, and reporting).
• Experience with investment compliance and investment management systems/tools such as:
• Investment compliance and monitoring platforms such as Charles River Investment Management System (IMS) Compliance, Bloomberg AIM (Asset and Investment Manager), and BlackRock Aladdin Compliance
• Order/execution and portfolio platforms: Order management system (OMS), execution management system (EMS), portfolio management and rebalancing tools
• Data and controls tooling: reference/security master, data quality tools, workflow/case management, reporting/BI tools, and document repositories for evidence management
• Experience supporting one or more of the following investment compliance activities:
• Codifying guidelines into rules (pre-trade/post-trade), including interpretation and traceability to source documentation
• Designing breach management workflows (classification, root cause, materiality, client notifications where applicable, remediation tracking)
• Controls documentation and testing (e.g., control design, operating effectiveness, sampling, issue tracking)
• Data and integration troubleshooting (positions, analytics, classifications, look-through, derivatives exposure, benchmarks, issuer hierarchies)
• Policy/procedure development and training for compliance and investment teams
• Strong project/program management skills, including ability to independently manage multiple priorities and deadlines with high-quality delivery.
• Strong oral and written communication skills, including ability to support or lead business proposal development and sales presentations.
• Limited immigration sponsorship may be available.
• Ability to travel up to 75%, on average, based on the work you do and the clients and industries/sectors you serve.
  

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

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 $88600 to $163100.

You may also be eligible to participate in a discretionary annual incentive program, subject to the rules governing the program, whereby an award, if any, depends on various factors, including, without limitation, individual and organizational performance.