Advisory Financial Services Compliance Senior Manager

Consulting and Advisory Services | Industry-focused Consulting

Charlotte, North Carolina, United States

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Position Summary

Financial Services Compliance Senior Manager

Our practitioners have the opportunity to engage a diverse and challenging portfolio of projects which include the design and implementation of business strategies and product offerings, operating models or structural change management, technology and process transformations, or risk management services. The industry knowledge and experience which candidates bring will be critical to the success of our clients.

As a Senior Manager, you will have opportunities to:

  • Learn how to identify, evaluate, and prioritize business, operational, regulatory, and technology risks as well as risk mitigation strategies for our clients
  • Understand the impact of key technology trends and workforce changes impacting our clients through engagement with innovative and emergent technologies, including cloud computing, big data and analytics, process automation, artificial intelligence / machine learning, and other digital strategies
  • Manage the development of client deliverables or for internal business needs
  • Serve on workstreams for complex projects, liaise with client counterparts, and actively participate in discussions on project management and work delivery needs
  • Manage project team in providing recommendations to improve or transform processes to gain efficiencies or scale or reduce risk for our clients
  • Manage internal business development initiatives and sales opportunities, including the creation of external-facing industry perspectives, lead generation materials, or sales proposals
  • Produce quality work products independently and collectively with team members throughout development lifecycle from initial conception to implementation
  • Engage with industry participants on market trends, competitive activities, and topic-specific discussions impacting the industry, potentially including with clients, industry consortiums, or trade groups or committees

Qualifications

Candidates will have exceptional records of professional achievement, experience working in a relevant financial services industry sector, and a demonstrated capacity and enthusiasm for self-paced development. Candidates will be expected to motivate others, build constructive relationships with clients and colleagues, and work both independently and as part of a team. Successful candidates will demonstrate an aptitude for complex problem-solving and analytical skills and the ability to communicate complex ideas clearly and persuasively across a variety of strategic, operational, technological, and risk management matters.

Required Qualifications

  • Bachelor’s degree 
  • 10+ years of experience working in the financial services or consulting industry related to one or more of the following Financial Services industries: consumer or corporate banking, investment banking or capital markets, investment management, wealth management, trust company, insurance provider, or related service provider
  • Strong relationship management skills, particularly the ability to build constructive and product working relationships with clients and among Deloitte practitioners
  • Experience with business transformation, regulatory remediation or change management initiatives as a result of strategic, regulatory, risk-related, technological, or operational evolutions 
  • Strong project / program management skills, particularly possessing a strong work ethic, a commitment to excellence in work product delivery, and the ability to independently manage multiple priorities and deadlines
  • Strong oral and written communication skills, including the ability to lead business proposal development and sales presentations
  • Ability to travel up to 50%
  • Must be legally authorized to work in the United States without the need for employer sponsorship, now or at any time in the future

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

Preferred qualifications

  • Comprehensive knowledge of a range of financial services business models, products, and services particular to the applicable industry
  • Experience with business transformation, regulatory remediation or change management initiatives as a result of strategic, regulatory, risk-related, technological, or operational evolutions 
  • Direct working experience related to product management, regulatory compliance, risk management or controls oversight
  • Direct working experience at a financial services regulator (e.g., OCC, FRB)
  • Direct working experience using, implementing, or supporting systems related to any of the following topics: trading, operations, lending, core banking platforms, compliance monitoring, regulatory reporting, risk or case management, or data management
  • Direct working experience related to any of the following topics: process design, mapping, or development; workflow development; user acceptance testing; data mapping, management, migration, or visualization / analytics; system configuration and testing; status monitoring and issue resolution
  • Experience in translating risk requirements to user stories to drive new product and system launches
  • Advanced proficiency with Microsoft Office products, particularly Microsoft PowerPoint, Excel, and Visio

About Deloitte Risk and Financial Advisory

Deloitte Risk and Financial Advisory provides industry-leading expertise, professional advisory services, and technology solutions to a range of clients. Our cross-functional Financial Services industry group comprises more than 2,500 partners, managers, and staff and provides a broad spectrum of services to address the operational, technological, regulatory, and risk management challenges faced by financial services clients across sectors, including banking, capital markets, retail wealth management, investment management, and insurance. 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 our clients solve complex business problems and in providing professional services to the financial services industry.

  • Deloitte’s Banking and Capital Markets Advisory Practice: Our Banking and Capital Markets Advisory Practice works with clients to address a range of critical issues brought on by regulatory changes, competition, globalization, advances in technology, and the changing demands of their customers. We provide a wide spectrum of advisory and consulting services to our clients, who include the world’s leading banks and depositories, institutional broker-dealers, securities exchanges and industry utilities, clearing houses, custodians, and companies in commodities-driven businesses.
  • Deloitte’s Wealth Management Advisory Practice: Our Wealth Management Advisory Practice combines a cross-functional group of practitioners to provide a suite of operational, technology, and regulatory offerings and expertise to serve the spectrum of wealth management clients, including retail broker-dealers, retail and private banks, investment advisers, trust and insurance companies, and financial intermediary service providers, in the design, configuration, and implementation of their business models, risk management and compliance programs, and technology platforms. Our wealth management clients provide direct-to-consumer investment advice and management, financial planning, asset protection, risk transfer services, customized securities-backed credit and lending, and tax services to individuals and families (e.g., retail investors, qualified plan participants, high-net worth clients).
  • Deloitte’s Investment Management Advisory Practice: Our Investment Management Advisory Practice is a global leader in providing professional services to the asset and investment management industries. We provide a wide spectrum of advisory and consulting services to our clients 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 clients include the world’s leading independent asset managers, diversified financial institutions, mutual funds, private fund advisers (hedge funds and private equity funds), fund administrators, transfer agents, pension funds, and fund of funds.
  • Deloitte’s Insurance Advisory Practice: Our Insurance Advisory Practice assists companies with managing complex risks, including regulatory, operational, and technology issues. Our practitioners assist clients in the design, implementation, and assessment of business operating models with particular focus on enhancing the overall efficiency, effectiveness, and impact of clients’ strategy and operations by leveraging technology and analytics.
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As used in this posting, "Deloitte Advisory" means Deloitte & Touche LLP, which provides audit and enterprise risk services; Deloitte Financial Advisory Services LLP, which provides forensic, dispute, and other consulting services; and its affiliate, Deloitte Transactions and Business Analytics LLP, which provides a wide range of advisory and analytics services. Deloitte Transactions and Business Analytics LLP is not a certified public accounting firm. Please see www.deloitte.com/us/about for a detailed description of the legal structure of Deloitte LLP and its subsidiaries. These entities are separate subsidiaries of Deloitte LLP.

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.

Requisition code: 200854

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