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EY ยท 2 days ago
Senior Manager - Financial Services Regulatory Compliance - Capital Markets
San Francisco, CA
Full-time
Onsite
Mid, Senior Level
$129K/yr - $295K/yr
7+ years exp
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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 the 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 the ability to quickly assimilate new knowledge
Possess in-depth business acumen. Remain current on new developments in advisory services capabilities and industry knowledge
Qualification
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Required
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
Preferred
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
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
Benefits
Medical and dental coverage
Pension and 401(k) plans
Flexible vacation policy
Paid time off options
EY Paid Holidays
Winter/Summer breaks
Personal/Family Care leave
Company
EY exists to build a better working world, helping create long-term value for clients, people and society and build trust in the capital markets.
10,001+ employees
H1B Sponsorship
EY has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Trends of Total Sponsorships
2023 (7267)
2022 (9628)
2021 (6575)
2020 (7115)
Funding
Current Stage
Late StageLeadership Team
Jonathan Williamson
Chief Operating Officer
Zoey Carver
AI@EY Deputy COO - Global Innovation Product Owner
Recent News
2024-04-18
2024-04-17
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