US Compliance Program - Monitoring Senior Associate

Location: Anywhere in Country

 

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US Compliance Program – Monitoring Senior Associate

 

Join our Core Business Services (CBS) team, where you will support the essential business enablement functions that keep our organization running strong. As a CBS professional, you will work across teams to provide the knowledge, resources, and tools that help EY deliver exceptional quality service to our clients, win in the marketplace, and support EY’s growth and profitability. Major teams within CBS include Finance, Information Technology, Human Resources, Enterprise Support Services, Brand Marketing and Communications, Business Development, Knowledge, and Ethics & Compliance.

 

The Ethics & Compliance function helps protect EY from risks that arise from its professional practice. Ethics & Compliance teams provide coordinated advice and assistance on regulatory and risk management issues, as well as management and oversight regarding the organization’s ethics.

 

Role summary: 

As a Compliance Program Monitoring Senior Associate, you will support the US Ethics & Compliance Program by:

• Collaborating with Compliance Area Leaders (CALs) to identify potential regulatory non-compliance or elevated risks within the business
• Executing integrated monitoring, reporting, and oversight
• Creating and running data tests to interrogate transaction data and identify risk indicators and trends 

 

You'll work independently, with periodic feedback.

 

Key responsibilities:

• Design and execute risk-based monitoring processes, reporting, and analysis across compliance areas to identify potential policy and regulatory compliance issues
• Provide oversight, analyze results, and identify trends to help CALs manage risks
• Collaborate with cross-functional teams to ensure accuracy in data collection and reporting processes, and create and maintain results dashboards in Power BI
• Recommend improvements to monitoring processes in accordance with EY guidance and professional standards
• Assess regulatory changes, resulting risks, and potential impact on compliance monitoring activities
• Assist with oversight activities, including quarterly validation, annual certification, and ethics analysis
• Gain an understanding of firm policies and regulatory requirements, and translate this knowledge into action plans and recommendations to address risks
• Document procedures to meet internal and external review requirements
• Assist with the execution of project plans, including goals and measures
• Partner with data specialists to continually improve EY’s compliance monitoring program

 

Skills and attributes for success:

• Strong analytical and data interpretation skills
• Ability to write clear processes and procedure manuals
• Technical proficiency with analytical and project management tools

• Well-developed organizational skills and ability to coordinate processes and projects across multiple internal stakeholder groups

• Independent problem-solving and decision-making
• High degree of personal ownership and accountability, with the ability to prioritize workload and deliver credible outputs within strict deadlines
• Understand the need for change initiatives and act as a positive advocate for necessary changes
• Analytical approach to evaluate existing processes to offer innovative ideas for improvement

 

To qualify, candidates must have:

• Strong research and problem-solving skills
• Astute attention to detail
• Outstanding verbal and written communication skills
• Proficient technology skills (Microsoft Office, SharePoint, workflow tools such as Archer are a plus)
• Ability to successfully handle multiple tasks in a timely manner
• Highest level of ethics and integrity
• Soli