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.

• 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.

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.

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 Black Rock 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…