Financial Services Risk Consulting, Sector Compliance - Senior

At EY, you’ll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture and technology to become the best version of you. And we’re counting on your unique voice and perspective to help EY become even better. Join us and build an exceptional experience for yourself, and a better working world for all.   The exceptional EY experience. It's yours to build.   EY focuses on high-ethical standards and integrity among its employees and expects all candidates to demonstrate these qualities.  

Primary location for this role is in CA.

 

EY is a leader in serving the global financial services marketplace and the only professional services firm with a separate business unit dedicated to the financial services industry – the Financial Services Organization (FSO). Our focused model and bold ambition have put us at the center of the events that continue to reshape and redefine our industry, working side by side with a range of clients from our most venerable institutions to dynamic new entrants across Banking and Capital Markets, Wealth and Asset Management, Insurance, and Real Estate, Hospitality and Construction. Our purpose is to help build a financial services industry in which financial institutions are trusted and flourish, and the global economy is healthy, growing and secure. If you have a passion for rallying together to solve complex challenges, then come join our dynamic FSO team!

 

The opportunity

The Regulatory Compliance Team focuses on services to financial organizations, such as Global Financial Technology companies, community and regional banks, digital assets companies, and banking as a service sponsor banks that address FRB, OCC, FDIC, state banking regulators and other regulatory requirements for banking, money transmitter, Bit License, and trust compliance. This includes solutions such as: 

• Compliance program assessment 
• Compliance program design and implementation assistance 
• Compliance program remediation
• Development of compliance policies and procedures 
• Compliance program testing 
• Regulatory inquiry assistance 
• Regulatory examination readiness
• License/Charter Application Support
• Regulatory Applicability Assessment

 

Our team focuses on innovative financial services topics such as embedded finance, banking as a service, and digital assets.

 

As a Senior Manager in Governance Risk and Compliance with a focus on Enterprise Risk Management, you will be at the forefront of shaping our organization's risk framework. Your role will integrate aspects of risk management, governance, data, technology, security, and fraud prevention, ensuring they align with regulations and governance structures. You will be pivotal in driving revenue generation through risk-focused strategies and will have the opportunity to advise board members, enhancing governance at the highest level.

 

Your key responsibilities

In this role, you will be responsible for conducting thorough assessments and analyses, collaborating with forensic experts to strengthen governance and proactive fraud controls. You will lead complex technical initiatives, drive quality and risk control, and innovate within your field. With autonomy to operationalize your expertise, you will guide team members and resolve intricate challenges. You will actively participate in client sessions, identify sales opportunities, and lead RFP responses. Travel requirements will be based on client needs, and you will manage engagement economics, resource planning, and budgeting for projects. Your analytical skills will be put to the test as you develop innovative solutions and potentially enact policy changes.

 

Skills and attributes for success

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, d