The opportunity
The Sector Compliance Team focuses on services to financial organizations that address SEC, CFTC, FINRA, NFA OCC and other regulatory requirements for retail and institutional broker dealer compliance, capital markets, banking, swap dealer trading, investment management and investment advisor compliance.
This includes solutions such as:
- Compliance program assessment
- Compliance program design and implementation assistance
- Development of compliance policies and procedures
- Compliance program testing
- Regulatory inquiry assistance
- Regulatory examination readiness/Mock regulatory examinations
Your key responsibilities
As a Senior you will be challenged with helping our clients manage risk and solve complex global regulatory issues.
Through a broad scope of engagements, mentoring, and formal learning you will develop your career and work with colleagues to analyze our client’s challenges and create effective solutions.
You will work with EY’s senior leaders to understand project approaches, develop client-delivered material, contribute to business development activities and research emerging issues in the financial services industry.
Skills and attributes for success
You’ll stay abreast of timely regulatory and risk management updates while understanding clients’ unique challenges within their businesses.
Collaborating with colleagues and leadership, you will manage and deliver outstanding work products.
To qualify for the role you must have
- A bachelors degree (MBA/MS preferred) in finance, economics, accounting, engineering or a related discipline and approximately 2 years of related work experience; or a graduate degree and approximately 1-2 years of related work experience
- Knowledge of accounting, regulatory reporting and/or regulatory compliance software
- Knowledge of financial services compliance practices, including monitoring and testing, as required by the SEC, CFTC, FINRA, NFA, OCC or other regulatory bodies
- A valid drivers license and passport required; willingness and ability to travel
Ideally, you’ll also have
- Relevant experience with the SEC’s Office of Compliance Inspections and Examinations or state securities regulator is a plus
- Experience with the design, development and implementation of internal controls for financial services business processes a plus
- Strong written and verbal communication skills for report writing and client presentations
- Analytical skills; specifically, the ability to assess and decompose financial services industry processes utilizing a risk and control focus
- Prior consulting experience preferred along with effective leadership, project management and teamwork skills