Financial Services - Regulatory Compliance - Capital Markets - Senior - NYC

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, Regulatory Compliance, Capital Markets: This position could be located in NY (primary), IL, NC, MA, PA, CA.

 

EY is the only professional services firm with a separate business unit –Financial Services Office (FSO)–that is dedicated to the financial services marketplace. Our 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 industry, come join our dynamic FSO team!

As a leading provider of advisory services, EY’s Regulatory Compliance and Conduct Practice helps its clients respond to a constantly changing financial environment by turning business and regulatory strategy into reality.

 

Our consultants include industry practitioners, former regulators and lawyers with a diverse combination of experiences. This unique combination of expertise helps us bring the most creative and innovative solutions to our clients across the globe.

 

The opportunity

Want to work with some of the world’s leading financial institutions on some of their most sensitive compliance and strategic matters? If so, EY’s Regulatory Compliance and Conduct Practice is the right place for you!  We work with the largest banks, credit unions, and financial service providers in the country to help them address regulatory feedback, enhance their compliance programs, position them to better serve their customers and achieve long-lasting results. At EY, you will have the opportunity to make a significant impact on our client’s businesses and enrich your career at a market leader.

 

Full-time employment

 

Your key responsibilities

• Consistently deliver quality client services. Monitor progress, manage risk and ensure key stakeholders are kept informed about progress and expected outcomes. Stay informed of current business and industry trends relevant to the client's business
• Demonstrate in-depth technical capabilities and professional knowledge.
• Demonstrate ability to assimilate to new knowledge
• Establish relationships with client personnel at appropriate levels
• Possess good business acumen. Remain current on new developments in advisory services capabilities and industry knowledge.

Skills and attributes for success

You’ll stay informed 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 and approximately 2 years of work experience with capital markets and/or broker dealer regulatory compliance or a graduate degree and approximately 1-2 years of consulting work experience
• Strong communication skills for report writing and client presentations
• Strong organizational skills and ability to manage competing priorities
• Analytical skills; ability to understand and assess financial services industry processes utilizing a compliance and control focus

 Ideally, you’ll also have

• Relevant experience with regulatory agency (Financial Industry Regulatory Authority (FINRA), Securities Exchange Commission (SEC), Office of the Comptroller of the Currency (OCC), Federal Reserve Bank (FRB)), or financial s