Financial Services Risk Consulting, Sector Compliance - Senior Manager

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 issues facing our world today.

EY is an equal opportunity, affirmative action employer providing equal employment opportunities to applicants and employees without regard to race, color, religion, age, sex, sexual orientation, gender identity / expression, national origin, protected veteran status, disability status, or any other legally protected basis, in accordance with applicable law.

What we offer We offer a comprehensive compensation and benefits package where you’ll be rewarded based on your performance and recognized for the value you bring to the business.

The salary range for this job in most geographic locations in the US is $129,000 to $294,800. The salary range for New York City Metro Area, Washington State and California (excluding Sacramento) is $154,800 to $335,000.

Individual salaries within those ranges are determined through a wide variety of factors including but not limited to education, experience, knowledge, skills and geography.

In addition, our Total Rewards package includes medical and dental coverage, pension and 401(k) plans, and a wide range of paid time off options.

Under our flexible vacation policy, you’ll decide how much vacation time you need based on your own personal circumstances.

You’ll also be granted time off for designated EY Paid Holidays, Winter / Summer breaks, Personal / Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being.

• Continuous learning : You’ll develop the mindset and skills to navigate whatever comes next.
• Success as defined by you : We’ll provide the tools and flexibility, so you can make a meaningful impact, your way.
• Transformative leadership : We’ll give you the insights, coaching and confidence to be the leader the world needs.
• Diverse and inclusive culture : You’ll be embraced for who you are and empowered to use your voice to help others find theirs.
30+ days ago