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Financial Services Risk Consulting, Sector Compliance - Senior - New York, Chicago



Accounting & Finance, Legal
New York, NY, USA · Reykjavík, Iceland
Posted on Sunday, June 9, 2024
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.

This position could be located in NY (primary), IL.

EY is the only professional services firm with a separate business unit ('FSO') 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 solving the most complex challenges in the financial services industry, come join our dynamic FSO team! We are looking for dedicated professionals who will bring innovative perspectives based on experience in the financial services markets.

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 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 work with colleagues to analyze our client’s challenges and create effective solutions. You will work with EY’s senior leaders to understand project approaches, develop client-delivered material, contribute to business development activities and research 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 2 years of related work experience; or a graduate degree and approximately 1-2 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.

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 $82,800 to $136,600. The salary range for New York City Metro Area, Washington State and California (excluding Sacramento) is $99,400 to $155,300. 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.
If you can demonstrate that you meet the criteria above, please contact us as soon as possible.
The exceptional EY experience. It’s yours to build.
EY | Building a better working world
EY exists to build a better working world, helping to create long-term value for clients, people and society and build trust in the capital markets.
Enabled by data and technology, diverse EY teams in over 150 countries provide trust through assurance and help clients grow, transform and operate.
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, pregnancy, genetic information, national origin, protected veteran status, disability status, or any other legally protected basis, including arrest and conviction records, in accordance with applicable law.
EY is committed to providing reasonable accommodation to qualified individuals with disabilities including veterans with disabilities. If you have a disability and either need assistance applying online or need to request an accommodation during any part of the application process, please call 1-800-EY-HELP3, type Option 2 (HR-related inquiries) and then type Option 1 (HR Shared Services Center), which will route you to EY’s Talent Shared Services Team or email SSC Customer Support at ssc.customersupport@ey.com