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Independence Associate - Secaucus NJ

Location:  Secaucus
Other locations:  Primary Location Only
Salary: Competitive
Date:  Jan 9, 2022

Job description

Requisition ID:  141656

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.



Join our Risk Management team and help protect EY from risks that arise from its professional services. Risk Management teams provide coordinated advice and assistance on independence, conflicts, regulatory and risk management issues, as well as supporting our people in managing the risks that arise in our daily working lives. You will work closely with all parts of the organization to identify, manage and monitor risk by providing coordinated advice and assistance on independence, compliance, regulatory, and ethical issues.


You will have the opportunity to develop your career by working closely with other Independence and Service Line professionals on a broad scope of engagements. That's how we develop outstanding leaders who team to deliver on our promises to our stakeholders, and in so doing, play a critical role in building a better working world for our people, for our clients and for our communities. Sound interesting? Well this is just the beginning. Because whenever you join, however long you stay, the exceptional EY experience lasts a lifetime.


Your key responsibilities

As a member of the Risk Management team, the professional is responsible for the initial review of regulatory breaches and firm policy violations reported within the Independence Consultation Database (ICD). More specifically, the professional will analyze and review breach or violation submissions from client service and other teams and evaluate completeness, accuracy and appropriateness of records/requests.


In addition, the professional will assist in the development of internal systems and improvements to existing processes. Other responsibilities include

  • Collecting and analyzing statistics related to breach, violation and consultation reports
  • Performing a first-level review of breach memorandum and associated communications to those charged with governance
  • Producing deliverables to document the diligence with which tasks were performed and the related documents for inclusion in a quarterly request by outside regulators.
  • In addition, the associate will assist with Quality Occurrence (QO) summaries and reporting for both personal and non-personal violations. This position will interact with executive level personnel and assist colleagues when needed.
  • Service Offering Reference Tool (SORT) process
  • The professional would work closely with the Senior Manager, Risk Management/Independence to facilitate the completion of new or modified SORT offerings prepared by the requesting partners. This will entail assistance in the SORT development and approval process and effective collaboration and communication with other responsible parties from the Firm’s service lines, GDS, Risk Management and Independence.
  • The professional will facilitate and monitor the subsequent reviews by Independence consultants and help coordinate final SORT approval by Independence leadership. The associate will also assist with collection and review of local independence content and related updates of the SORT tool.  The professional will monitor SORT completion status through the various review phases and recommend needed actions or process improvements to achieve the objectives of SORT.


Skills and attributes for success

  • Takes precautions to protect the sensitive and confidential information with potentially significant implications to personnel at all levels within the firm
  • Facilities and drives the process to completion by following up on requests from Americas Independence Executives and client teams
  • Manages tasks and activities in a timely manner, supports colleagues to meet their deadlines and be responsible for specific outcomes
  • Reviews and analyzes reports to identify variances or trends that should be brought to the attention of management
  • Through regular interaction, develops relationships and builds a network of people within Risk Management/Independence and across the firm
  • Proposes suggestions and solutions for improvement and/or develops new approaches or deliverables by leveraging others experience and existing processes


To qualify for the role, you must have 

  • Experience with successful project management.
  • Good problem-solving skills.
  • Flexibility to adapt to different working situations.
  • Ability to prioritize and adapt to changing circumstances.
  • Diligence and discretion to keep sensitive information confidential.
  • Strong communications skills.
  • Proficient in Microsoft Office (Word, Excel, Powerpoint).
  • Good working knowledge of computers and common software packages.
  • 1-3 years of experience working in situations requiring research, project management and communication.
  • Bachelor's degree or equivalent work experience.


Ideally, you will have

  • The ability to learn and understand the firm and regulators’ independence rules and policies as well as familiarity with other quality and risk management initiatives outside your area of expertise.
  • Ability to manage tasks and activities in a timely manner and be responsible for specific outcomes.


What we look for

We’re looking for individuals that have strong problem-solving skills who aren’t afraid to take initiative and demonstrate enthusiasm for their work. If you’re great at communicating with people in a fast-paced environment, and you hope to never stop learning, this is a great place to develop all the skills that will progress your career.

What we offer

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, pension and 401(k) plans, and a wide range of paid time off options. Under our flexible vacation policy, you’ll decide how much vacation time you need based on your own personal circumstances. You’ll also be granted time off for designated EY Paid Holidays, Winter/Summer breaks, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being.


•    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.

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


The exceptional EY experience. It’s yours to build.


EY | Building a better working world


EY exists to build a better working world, helping to create long-term value for clients, people and society and build trust in the capital markets.


Enabled by data and technology, diverse EY teams in over 150 countries provide trust through assurance and help clients grow, transform and operate.


Working across assurance, consulting, law, strategy, tax and transactions, EY teams ask better questions to find new answers for the complex issues facing our world today.


EY is an equal opportunity, affirmative action employer providing 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.


Nearest Major Market: New York City
Nearest Secondary Market: Newark

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