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EY Technology Consulting, Financial Services, Senior – Compliance Technology and Transformation in Providence, Rhode Island

Technology Consulting, Financial Services, Senior – Compliance Technology and Transformation


Requisition # UNI00HR5

Post Date Jun 01, 2021

Technology Consulting, Financial Services, Senior – Compliance Technology and Transformation

EY is the only professional services firm with a separate business unit (“FSO”) that is 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 rallying together to solve the most complex challenges in the financial services industry, come join our dynamic FSO team!

We help some of the leading financial institutions in the world stay ahead of key regulatory requirements in the Banking and Capital Markets, Asset Management and Insurance spaces. We aim to deliver industry leading regulatory and technology insights to help our clients mitigate risks to their business. At EY, we hire professionals from around the world who have a diverse range of financial services, regulatory and technology backgrounds. This allows us to provide a broad range of advisory services in areas such astraded products and wealth management, consumer compliance, and regulatory transformation.

The opportunity

Our Compliance Technology and Transformation group is a rapidly growing and evolving as we continue to help leading financial instituions and fintech organizations address regulatory and compliance issues across some of the most interesting and highly complex areas in the industry - regulatory change management, enterprise compliance, electronic trading, regulatory reporting, and holistic surveillance. As a part of this group, you will have the opportunity to work on latest technology, help solve complex regulatory compliance issues (e.g. related to fair lending, regulatory change, trade survelliance, crypto) and liaise with key functions of our leading clients including business, compliance, technology and operations to provide strategic process or operating model enhancements, testing of key regulatory considerations, and identification and implementation of new technology solutions.

Your key responsibilities

You will work with the team to deliver strategic enhancement of IT systems or operational processes supporting compliance topics across banking and capital markets, insurance and asset management domains. You and your team will interact with senior client stakeholders across leading firms to gain in-depth understanding of our clients’ unique needs and goals, before developing meaningful improvement insights. You’ll implement technology performance improvement using deep subject matter knowledge to address specific business concerns in banking and capital market space. Primarily, you’ll be involved in understanding the current business, regulatory and industry trends to deliver world class solutions to solve our clients’ toughest challenges.

Skills and attributes for success

  • Ability and comfort level researching business products and emerging market conditions, and assess its impact on regulations, industry practices, and new technologies

  • Able to work as in a cross functional team with business and technology consultants through all phases of project life cycle

  • Understanding of key business lifecycle processes aligned to one of banking and capital markets, insurance, or wealth and asset management sectors. The business lifecycle processes can include - compliance and risk controls, operations, product lifecycle, client on-boarding etc.

  • Experience or understanding of compliance analytics, metrics, dashboards and reporting (Data Analytics).

  • Passion for developing and leading innovative technology solutions for solving banking and capital markets challenges.

To qualify for the role you must have

  • A bachelor’s degree in one of the following fields of study: finance, computer science, information technology, management information systems, engineering

  • More than three years’ work experience at a financial services or management consulting company working in one of the following areas: consumer compliance, regulatory change management, front-office trading, regulatory operations, regulatory reporting, compliance technology, middle office, research

  • A willingness to travel to meet client needs; travel is estimated at 50%. A valid driver’s license in the US and a valid passport required

  • Experience on projects developing detailed, compelling and analytical PowerPoint / Excel / Word / Visio deliverables to various stakeholders

  • Demonstrated executive presence and strong communications, facilitation and presentation skills

  • Ability to work in unstructured environment, demonstrated ability to resolve complex challenges leveraging strong analytical and problem-solving skills

Ideally, you’ll also have

  • Functional/Domain skills:

  • Experience working with regulators like FINRA, FTC, SEC, OCC, CFPB and FRB

  • Experience in one or more of the following areas: definition and design of business, functional and technical requirements; system selection and implementation support; Systems Development Lifecycle (SDLC); Quality Assurance and testing (QA); program/project management and implementation planning (PMO)

  • Experience working in risk and compliance domain focusing on technology transformation

  • Experience inone or more of the following subject areas:regulatory change management process, consumer compliance,trade surveillance,Regulatory Reporting, conduct risk etc.

  • Understanding of the trading lifecycle process across different asset classes (e.g., equities, fixed income, derivatives)

  • Technical skills:

  • Experience with leading industry vendors in the compliance technology space – Fidessa, KX, Actimize, Behavox, Archer etc.

  • Experience with Data and Compliance Analytics tools – SQL, Spotfire, Tableau, Qlikview

  • Enterprise architecture and application architecture

  • Services architecture and data integration

  • Understanding of Cloud architecture (AZURE, AWS)

  • Experience with SAS, Python, Java, SQL, C++, Hadoop

What we look for

We’re interested in leaders with the ability to deliver meaningful solutions to our clients. We seek passionate and personable individuals that are interested in the supporting the compliance technology transformation initiatives across leading global financial institutions. If you desire a dynamic role with great exposure, this role is for you.

What working at EY offers

We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business. In addition, our Total Rewards package includes medical and dental coverage, both pension and 401(k) plans, unlimited vacation and ten plus observed holidays and personal days, and a range of programs and benefits designed to support your physical, financial and social well-being. Plus, we offer:

  • Opportunities to develop new skills and progress your career

  • A collaborative environment where everyone works together to create a better working world

  • Excellent training and development prospects, both through established programs and on-the-job training

About EY

As a global leader in assurance, tax, transaction and advisory services, we hire and develop the most passionate people in their field to help build a better working world. This starts with a culture that believes in giving you the training, opportunities and creative freedom to make things better. So that whenever you join, however long you stay, the exceptional EY experience lasts a lifetime.

If you can confidently demonstrate that you meet the criteria above, please contact us as soon as possible.

Join us in building a better working world. Apply now

EY provides 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.