EY Compliance Program Manager Supervising Associate 

United States, Alabama, Birmingham 

710965005

Job Summary:

As a Compliance Program Supervising Associate, you’ll be an integral partner in our collaboration with various Compliance Areas to enhance the firm’s overall compliance framework, through:

• Consultation with Compliance Area Leaders (CALs) to identify and mitigate risk for EY, and support their framework management and continuous improvement efforts.
• Provide guidance on the program for alignment with the EY compliance framework to help mitigate regulatory and legal risks through integrated analysis of risks, risk drivers, processes, controls, training.
• Identifying and implementing efficiencies across the compliance program, and teaming/coordinating with monitoring and data initiatives.

In this role, you'll advise professionals across a range of leadership levels, service lines, industry sectors and geographic areas. This will involve dealing with complex, non-standard compliance and ethics issues. You'll also be expected to recommend modifications and enhancements and help the process(es) continue to support firm priorities and needs.

You'll work independently, with periodic feedback.

Key Responsibilities:

• Assist in the management of the Firm’s Compliance Programs Framework, liaising with Compliance Area Leaders and tracking compliance improvement plans
• Manage the key takeaways database to ensure information is communicated to the right team members across data, monitoring, ethics and compliance, and note when initiatives are completed
• Participate in the annual compliance framework certification process, including providing consultation and documentation to ensure the program is current, accurate, well-framed and applied consistently across the risk universe
• Gain an understanding of the key requirements of firm policies and regulators’ rules and apply knowledge to consultations
• Recommend ways to improve process(es), and/or develop new approaches
• Stay current with emerging risks, trends and lessons learned. Assist in creating training presentations, to communicate new developments (and their impact) to clients and Ethics, Compliance and Risk Management (ECRM) team members
• Assist in implementation of project plans, including goals and measures. Follow up on all approved changes and enhancements to the process(es)
• Develop relationships and build a network of people within your team and across the firm
• Coordinate ECRM process initiatives and manage process teams
• Use independent judgment and discretion to identify issues, analyze risks across industry and service lines, and interpret relevant EY policies and guidelines
• Gain a solid understanding of relevant parts of the EY business
• Participate in the creation and updating of key compliance information contained in RACIs and RACMs, ensuring the framework matrix is up to date and mapped appropriately.
• Keep documentation and information on process(es) up-to-date

Skills and attributes for success:

• Ability to think outside of the box and learn new approaches to modeling business problems with a focus on the practical application of the results
• High degree of personal ownership and accountability, with the ability to prioritize workload and deliver credible outputs within strict deadlines, with minimal supervision
• Proficient technical abilities and the use of analytical and project management methodology to execute projects
• Understand the need for change initiatives and act as a positive advocate for necessary changes as it relates to the process
• Analytical approach to evaluate existing processes to offer innovative ideas for improvement and allow for operational efficiency and effectiveness
• Help colleagues learn new tasks and build a cohesive team through strong management and leadership skills to align various stakeholders and team members across the compliance universe
• Highly effective communication and presentation skills

To qualify, candidates must have:

• Strong problem-solving skills
• Astute attention to detail
• Outstanding verbal and written communication skills
• Proficient technology skills (Microsoft Office, SharePoint)
• Proven ability to be an effective leader and manage a team of direct reports and processes along with identifying opportunities to utilize an offshore team
• Ability to deliver frank messages to executive leaders within the firm
• Ability to successfully handle multiple tasks with flawless execution
• Ability to be flexible and the confidence to take the initiative
• Deep understanding of compliance monitoring programs and methodologies
• Solid understanding of Department of Justice guidance for compliance programs
• Bachelor’s degree or equivalent work experience
• Highest level of ethics and integrity
• A minimum of 5-7 years related experience

• 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.