EY Independence Compliance Audit Senior Associate 

United States, Pennsylvania, Philadelphia 

986963503

We are operating in an increasingly connected world which is changing how to manage risk. With fast-paced technology advancements, new innovations in emerging technologies, and an ever-challenging regulatory environment, it is business critical for our organization to identify not only the risks but the opportunities these present to us. As Independence Compliance Associate, you'll be responsible for auditing the personal financial independence of EY personnel thereby helping to mitigate this area of risk for the firm.

As Independence Compliance Audit Senior Associate, you'll use your subject matter knowledge to act as the initial or secondary point of contact for client engagement teams. You'll provide research and analysis across one or more Q&RM functions or processes. To achieve this, you'll interpret policies and processes, determine required actions, and make recommendations based on firm guidance and your own experience. In addition, you'll analyze issues, and document the diligence with which tasks are performed, to help meet the demands of external regulators.

Key Responsibilities:

• Conduct research to resolve conflicts, and obtain materials, in order to review business relationships, public company independence, personal financial independence or other processes
• Work with management & RM analysts to review submissions from client teams. Evaluate the completeness, accuracy and appropriateness of proposed transaction/requests
• Identify key issues and risks in the Q&RM function or process, by comparing facts and circumstances to current EY policies
• Handle information and analysis requests from Q&RM consultants and client engagement teams and understand complex, non-routine questions from client teams, and coordinate appropriate responses through consultation
• Recommend improvements, and/or develop new approaches or deliverables, by utilizing your knowledge of existing Q&RM processes, and your business experience
• Liaise between the client teams, other members of the Q&RM team, and various functional areas within the firm (e.g., Center for Business Knowledge, Finance, and Strategic Sourcing)
• Review and analyze reports, to identify variances or trends that should be brought to the attention of management
• Apply judgment to consultations and/or submission reviews
• Develop an enhanced understanding of the key independence rules and policies of EY and the regulator
• Gain knowledge of one or more Q&RM functional areas within the firm
• Develop a solid understanding of relevant firm business
• Respond to escalated issues, or sensitive transactions.
• Analyze these reports to determine whether an EY/Securities & Exchange Commission (SEC)/American Institute for Certified Public Accountants (AICPA) violation has occurred or is likely to occur
• Regularly exercise independent decision-making skills within the framework of the Q&RM/Independence policies and processes. Guide client teams on issues of moderate complexity

To qualify, candidates must have:

• Basic knowledge of project management tools and methodologies
• Strong problem solving skills
• Flexibility to adapt to different working situations
• Adept at keeping sensitive information confidential
• Strong research and communications skills
• Good working knowledge of computers and common software packages, including analytical tools
• A minimum of 3-5 years related experience
• Bachelor's degree or equivalent work experience

What we look for

• We’re interested in people that willtake responsibility for complex Risk Management/Independence projects or significant aspects of highly complex projects

• 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.