Mandatory Licensing Supervising Associate

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.  

 

The Ethics, Compliance and Risk Management (ECRM) Mandatory Licensing team supports our people in managing the risks that arise related to mandatory licensing requirements within the firm.  We work closely with all parts of the organization to identify, manage and monitor risk, providing coordinated advice and assistance. 

The opportunity  

Mandatory Licensing Compliance is seeking a Supervising Associate to support and manage the various requirements surrounding licensing compliance. The Supervising Associate will have a deep understanding of the firm’s certification policies and the compliance framework to support our professionals with obtaining required licensure or renewing timely. This role is responsible for providing research and analysis across one or more mandatory license type and is responsible for interpreting service line policies, determining required actions to standard and non-standard situations and making recommendations based on firm guidance, professional standards and acquired experience. Other responsibilities include 1) analyzing issues; 2) performing quality control review of processes; and 3) producing deliverables to document the diligence with which tasks were performed, as the work product for these individuals is subject to review and scrutiny by outside regulators. This position will interact with executive level personnel and assists colleagues to learn new jobs/tasks and to integrate into the team. The Supervising Associate will execute compliance programs (with oversight) to mitigate risks to the firm, including supporting the training and knowledge sharing with other team members.

Your key responsibilities

• Understand and apply knowledge of key requirements of service line policy and regulator requirements
• Applies knowledge and understanding of firm’s processes, resources and tools to effectively support functional teams and customers
• Proposes suggestions and solutions for improvement and/or develops new approaches or deliverables by leveraging ECRM experience and existing ECRM processes
• Facilitates and strongly drives the process to completion by following up on requests and assisting EY personnel with licensing questions
• Participate in meetings with service line/area leadership, general counsel’s office (“GCO”) and Ethics & Compliance
• Understand and apply the firm’s policy requirements and regulatory requirements to respond to EY personnel
• Performs internal and external research, referencing existing policies and knowledge to assist with review, assessment and resolution of incidents and provides recommendation to meet compliance, including customer inquiry
• Demonstrates positive attitude by contributing energy and new ideas to team efforts and meetings, including process improvements for continued execution against strategic priorities, enhance efficiency and identify trends
• Proactively notify appropriate EY individual of, and be alert for, any identified issues with quality, confidentiality or risk
• Performs duties and responsibilities with limited supervision
• Solve complex problems (e.g. partnering with professionals to remediate licensing issues with licensing authorities)
• Asks clarifying questions to fully understand customer, peer and leadership expectations, to effectively support the business
• Provides excellent customer service to internal stakeholders
• Independently answers complex, non-routine questions from clients.
• Escalates and partners with the team to resolve concerns, outlining action taken and proposed solution, as applicable