Financial Services Risk Consulting, Sector Compliance - Senior Manager

EY focuses on high-ethical standards and integrity among its employees and expects all candidates to demonstrate these qualities.  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, too. Join us and build an exceptional experience for yourself, and a better working world for all.  

Financial Services Risk Consulting, Sector Compliance – Senior Manager – Open Location: This position could be located in NY (primary), IL.

 

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, too. Join us and build an exceptional experience for yourself, and a better working world for all. 
  
EY is the only professional services firm with a separate business unit ('FSO') that is dedicated to the financial services marketplace. Our FSO teams have been at the forefront of every event that has reshaped and redefined the financial services industry. If you have a passion for rallying together to solve the most complex challenges in the financial services industry, come join our dynamic FSO team!    
  
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 Manager 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 be responsible for working directly with clients to understand their challenges  and communicate and present our solutions, managing engagement teams, establishing project approaches, and working with firm leadership to develop team talent and leading business development activities and researching 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 bachelor's degree (MBA/MS preferred) in finance, economics, accounting, engineering or a related discipline and approximately 10 years of related work experience; or a graduate degree and approximately 8 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 driver's 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  
  
What we look for    
This role requires strong communication and writing skills, deep knowledge of the financial services industry, and motivation to learn about a diverse client base. Our clients seek answers to questions the financial services industry has never been asked before. Top performers will be analytical in their approach to assessing risk management, trading, regulatory, quantitative, technology, and operations issues.  

Working across assurance, consulting, law, strategy, tax and transactions, EY teams ask better questions to find new answers for the complex