EY Advisory Services Senior - Financial Services - Sector Compliance in San Francisco, California

Advisory Services Senior - Financial Services - Sector Compliance


Requisition # SAN0085A

Post Date Feb 05, 2019


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 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, a minimum of 15 days of vacation plus ten observed holidays and three paid personal days, and a range of programs and benefits designed to support your physical, financial and social well-being. Plus, we offer:

  • The opportunity to manage a portfolio of talent within a designated service line

  • 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

  • An excellent team of senior colleagues, dedicated to managing and varying your workload

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.

EY, an equal employment opportunity employer (Females/Minorities/Protected Veterans/Disabled), values the diversity of our workforce and the knowledge of our people.