Regulatory Compliance Associate Director

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) Regulatory Compliance team supports our people in managing the risks that arise related to regulatory 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  

The Regulatory Compliance team within ECRM is seeking an Associate Director to lead the QC 1000 and SQM program for Ethics, Compliance, and Risk Management requirements, and work closely with Independence on its QC 1000 compliance.  In addition, the role will help support regulatory compliance across all areas, with specific knowledge of PCAOB rules/requirements (e.g., quality requirements, inspections), SEC requirements, Assurance practice standards, etc. 

 

This individual will manage the QC 1000 and SQM processes and other internal control related initiatives and liaise with the various compliance program leaders within the Ethics & Compliance team (Ethics, CPE, CPA, Mandatory Learning, Mandatory Certifications, Firm Registrations and Regulatory Reporting) and the Risk Management areas of Conflicts and Client Acceptance.

 

Your key responsibilities:

• Manage the ECRM QC 1000 and SQM compliance function
• Apply knowledge and understanding of firm’s processes, resources, and tools to effectively support ECRM functional teams
• Liaise with ECRM functional teams to support QC 1000 and SQM and those teams supporting the broader firm efforts in this area, including but not limited to, support for the design, execution, monitoring, testing, and annual review of relevant controls
• Serve as an SMR with in-depth understanding of QC 1000, SQM policies, approach, documentation requirements, and implementation guidance (ISQM1, PCAOB QC 1000)
• Support preparedness assessment activities in advance of firm-level adoption of the new PCAOB Quality Management standard, QC 1000
• 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
• Perform internal and external research, referencing existing policies and knowledge to assist with review, assessment, and resolution of incidents
• Proactively notify appropriate EY individual(s) of, and be alert for, any identified issues with quality, confidentiality, or risk
• Escalate issues and partner with the team to resolve concerns, outlining action taken and proposed solution, as applicable
• Reconcile information obtained from research and communicate findings, parameters, and proposes next steps to leadership
• Document work processes and findings in appropriate work programs

Skills and attributes for success 

• You must have relevant experience (6-8 years) with Assurance or Audit standards or PCAOB quality management standards, including SQM or QC 1000
• Excellent written and spoken English communication skills
• Ability to establish and maintain a high degree of confidentiality & integrity
• Ability to quickly understand business process, controls, and data flow to help facilitate documentation and/or areas for improvement
• Attention to details is a must
• Analytical ability, strong decision-making skills, team player
• Expected to escalate matters and/or sensitive transactions to leadership within ECRM and the business
• Ability to develop and execute procedures to complete tasks
• Ability to proactively share knowledge and suggestions with colleagues to enhance their professional development
• Ability to effectively manage conflicting priorities, organize workflow, and team with colleagues to accomplish tasks
• Develop and demonstrate solid working knowledge of firm structure, service lines, key personnel and organizational policies and procedures
• Expected to be prepared to interface with EY personnel at all levels and must be able to demonstrate knowledge of area of operations and communicate processes, identifying issues, and providing solutions for mitigating risk

To qualify you must have 

• Bachelor’s degree or equival