Financial Services - Regulatory Compliance - Capital Markets - Senior Manager

Financial Services, Regulatory Compliance, Capital Markets – Senior 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 (“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!

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

• Lead large scale client engagements. Consistently deliver quality client services. Drive high-quality work products within expected timeframes and on budget. 
• Monitor progress, manage risk and ensure key stakeholders are kept informed about progress and expected outcomes. Manage expectations of client service delivery. Stay informed of current business and industry trends relevant to the client's business 
• Effectively lead and motivate teams with diverse skills and backgrounds. Provide constructive on-the-job feedback/coaching to team members 
• Foster an innovative and inclusive team-oriented work environment. Play an active role in counselling and mentoring junior consultants within the organization 
• Generate new business opportunities. Understand EY and its service lines and actively assess/present ways to serve clients. Facilitate use of technology-based tools or methodologies and identify opportunities to cross-sell services 
• Develop and maintain long-term client relationships and networks. Develop relationships with team members across all EY practices to serve client needs 
• Demonstrate deep technical capabilities and professional knowledge. Demonstrate ability to quickly assimilate to new knowledge 
• Possess in depth 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 client service

To qualify for the role you must have

• A bachelor's degree and approximately 8 or more years of work experience with capital markets and/or broker dealer regulatory compliance or a graduate degree and approximately 7 or more 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

• 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.