Financial Services - Regulatory Compliance - Capital Markets - Manager

at  EY

EY focuses on high-ethical standards and integrity among its employees and expects all candidates to demonstrate these qualities. At EY, you’ll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture and technology to become the best version of you. And we’re counting on your unique voice and perspective to help EY become even better, too. Join us and build an exceptional experience for yourself, and a better working world for all.
Financial Services, Regulatory Compliance, Capital Markets – Manager: This position could be located in NY (primary), IL, NC, MA, PA, CA.
EY is the only professional services firm with a separate business unit –Financial Services Office (FSO)–that is dedicated to the financial services marketplace. Our 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 industry, come join our dynamic FSO team!
As a leading provider of advisory services, EY’s Regulatory Compliance and Conduct Practice helps its clients respond to a constantly changing financial environment by turning business and regulatory strategy into reality.
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.
The opportunity
Want to work with some of the world’s leading financial institutions on some of their most sensitive compliance and strategic matters? If so, EY’s Regulatory Compliance and Conduct Practice is the right place for you! We work with the largest banks, credit unions, and financial service providers in the country to help them address regulatory feedback, enhance their compliance programs, position them to better serve their customers and achieve long-lasting results. At EY, you will have the opportunity to make a significant impact on our client’s businesses and enrich your career at a market leader.
Full-time employment

Your key responsibilities

• Leading your own engagement team; interacting and developing relationships with clients’ top executives and our firm’s leadership
• Providing guidance and relevant expertise to help your team build strategic and innovative solutions. Delivering consistent high-quality work-product. Staying informed of current business and industry trends relevant to the client’s business
• Managing all aspects of an engagement; from daily subject matter and regulatory issues, project monitoring, risk management and status reporting, to engagement economics, budget, monthly invoicing and quarterly service quality checks
• Shaping junior consultants’ careers by mentoring, coaching and providing constructive on-the-job feedback
• Cultivating and managing business development opportunities to assess/present new service offerings to clients
• Teaming with individuals from diverse backgrounds and helping foster an inclusive team-oriented work environment. In addition, you will have access to EY’s global network, including affinity networks, industry networks and community networks

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 5 years of work experience with capital markets and/or broker dealer regulatory compliance or a graduate degree and approximately 4 years of consulting work experience
• A degree in business, finance, accounting, law or a related discipline; MBA, MS, or JD preferred
• 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 leading teams and managing people 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

Your key responsibilities

• Leading your own engagement team; interacting and developing relationships with clients’ top executives and our firm’s leadership
• Providing guidance and relevant expertise to help your team build strategic and innovative solutions. Delivering consistent high-quality work-product. Staying informed of current business and industry trends relevant to the client’s business
• Managing all aspects of an engagement; from daily subject matter and regulatory issues, project monitoring, risk management and status reporting, to engagement economics, budget, monthly invoicing and quarterly service quality checks
• Shaping junior consultants’ careers by mentoring, coaching and providing constructive on-the-job feedback
• Cultivating and managing business development opportunities to assess/present new service offerings to clients
• Teaming with individuals from diverse backgrounds and helping foster an inclusive team-oriented work environment. In addition, you will have access to EY’s global network, including affinity networks, industry networks and community network

To qualify for the role you must have

• A bachelor’s degree and approximately 5 years of work experience with capital markets and/or broker dealer regulatory compliance or a graduate degree and approximately 4 years of consulting work experience
• A degree in business, finance, accounting, law or a related discipline; MBA, MS, or JD preferred
• 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 focu