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EY Financial Services - Regulatory Compliance Capital Markets Senior United States, New York, New York 719052974
16.09.2024
Financial Services, Regulatory Compliance, Capital Markets:This position could be located in NY (primary), IL, NC, MA, PA, CA.
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.
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 services organization Capital Markets or Investment Banking Compliance Department
- Knowledge of regulatory expectations related to Compliance Management Systems and Compliance Risk Management Programs for financial institutions serving capital markets and or investment banking clients.
- Experience in assessing and decomposing financial services industry processes utilizing a risk and control focus and with the design, development and implementation of internal controls for financial services business processes
- Experience with compliance program assessment, compliance program design and implementation assistance, development or evaluation of compliance policies and procedures, compliance program testing, and development and evaluation of compliance program testing
- Capital Markets, investment banking, and broker dealer product and service knowledge (e.g., equity and debt securities, commodities, derivatives, foreign exchange) and applicable laws, rules, and regulations (e.g., Rule 3110, the Securities Act of 1933)
- Experience with design, development and implementation of internal controls and/or testing of internal controls for financial services business and compliance processes
What we look for
- Innovative, creative and passionate individuals who demonstrate effective leadership, project management and teamwork skills. You are always willing to accept new challenges to take your careers to the next level
- Relevant experience in the development and delivery of client engagements, thought leadership materials, and significant practice development initiatives
- Prior experience with a consulting firm, regulator, or financial institution preferred or a demonstrated ability to function effectively in a fast-paced, client serving consulting environment
- A valid driver's license and passport required; willingness and ability to travel in order to meet client needs
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.
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.
For those living in California, please
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