Compliance Review Analyst - Ethics & Compliance - Stamford
Compliance Review Analyst or Senior Analyst - Ethics & Compliance Group – Stamford
Do you have a strong interest in summarizing and compiling case management data? Are you passionate about adherence to compliance in a professional services environment? Then our Ethics & Compliance group may be the right fit for you!
Work you'll do
The individual in this position will be responsible for compiling and summarizing data in the Case Management System (CMS) related to Partners and other professionals who are non-compliant with Independence and other professional policies.
The information will be used to determine the appropriate disciplinary action and potential consequences of noncompliance. This person will be responsible for the accuracy of the information within the CMS database. The role will require close interaction with other members of the team at different levels and with process owners who submit violations for evaluation of disciplinary action. The individual will also assist the Management team preparing summaries and reports for leadership.
- Compiling facts and circumstances regarding Independence regulatory or firm policy violations into a case summary related to a specific individual.
- Performing research related to violations and communicating with process owner to obtain all relevant information needed to process discipline cases.
- Working with process owners who escalated individuals to the "Reprimand" level to obtain an understanding of the circumstances of the violation.
- Assisting the Management team preparing reprimand letters for training and other violations. Will also support ad-hoc projects, including the preparation of reports for leadership, due diligence analysis, and reconciliation of violations.
- Applying unique facts and circumstances to a methodology that ensures consistency of outcome.
- Review historical data to identify similar cases to support the assessment.
The objective of the Ethics and Compliance team is to support Deloitte's shared values and Global Principles of Business Conduct by centrally coordinating and enhancing existing ethics and compliance practices. The program and underlying policies and procedures have been designed to prevent, detect, and address ethics and compliance issues.
- Bachelor's Degree and a combination of additional education and related work experience in a service or corporate environment, preferably within the Deloitte US Firms.
- High degree of professionalism and discretion with ability to handle high-level confidential data.
- Project management skills and ability to multi-task effectively.
- Self-starter, with the ability to work with initiative, manage workload effectively, and meet project goals and deadlines.
- Strong interpersonal and both written and oral communication skills.
- Strong Microsoft office skills (Excel, Word, PowerPoint).
- Ideal candidate will have knowledge of Deloitte US Firm Independence, Ethics and Compliance policies and database management skills.
How you'll grow
At Deloitte, our professional development plan focuses on helping people at every level of their career to identify and use their strengths to do their best work every day. We offer opportunities to help sharpen skills in addition to hands-on experience in the global, fast-changing business world. From on-the-job learning experiences to formal development programs, our professionals have a variety of opportunities to continue to grow throughout their career.
At Deloitte, we know that great people make a great organization. We value our people and offer employees a broad range of benefits. Learn more about what working at Deloitte can mean for you.
Our positive and supportive culture encourages our people to do their best work every day. We celebrate individuals by recognizing their uniqueness and offering them the flexibility to make daily choices that can help them to be healthy, centered, confident, and aware. We offer well-being programs and are continuously looking for new ways to maintain a culture where our people excel and lead healthy, happy lives. Learn more about Life at Deloitte.
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Requisition code: E18STMSSPEJD042-USL4
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One of the largest professional services organizations in the U.S., Deloitte delivers innovative solutions to the complex business problems facing companies around the world. Deloitte offers rewarding careers in four businesses—audit, tax, consulting, and financial advisory. Widely recognized for its inclusion initiatives, Deloitte is committed to building a workplace environment that allows people from all generations, ethnicities, and cultures to be their authentic selves.
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