Financial Services Risk Management Advisor, FSRM (Sector Compliance) - Financial Services Office (Manager) (Multiple Positions), Ernst & Young U.S. LLP, Charlotte, NC.

Assist clients in transforming their business models to address their technology challenges, especially in leading mutual fund and hedge fund advisors. Provide clients with strategic recommendations to manage risk and complex global regulatory issues. Provide services to clients to help ensure compliance with regulatory requirements governing financial and securities institutions. Focus on 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. Assess, design, and implement regulatory compliance reporting programs to meet advisor and fund financial regulatory requirements.

Manage and motivate teams of professionals with diverse skills and backgrounds. Consistently deliver quality client services by monitoring progress. Demonstrate in-depth technical capabilities and professional knowledge. Maintain long-term client relationships and networks. Cultivate business development opportunities.

Full time employment, Monday – Friday, 40-45 hours per week, 8:30 am – 5:30 pm.

MINIMUM REQUIREMENTS:

Must have Bachelor’s degree in Finance, Economics, Business, Accounting, Engineering, Law, or a related field and 5 years of progressive, post-baccalaureate work experience in the financial services industry. Alternatively, will accept a Master’s degree in Finance, Economics, Business, Accounting, Engineering, Law or a related field and 4 years of work experience in the financial services industry.

Must have 4 years of combined experience in regulatory compliance and accounting or regulatory reporting.

Must have 4 years of combined experience within financial services compliance practices, including monitoring and testing, as required by the SEC, CFTC, FINRA, NFA, OCC and/or other regulatory bodies.

Must have 3 years of experience working with a financial services firm in the area of regulatory compliance or providing consulting services to financial institutions in the area of regulatory compliance.

Must have 2 years of experience supervising a team of financial services professionals.

Requires domestic and regional travel up to 75% to serve client needs.

Employer will accept any suitable combination of education, training or experience.

Please apply on-line at ey.com/en_us/careers and click on "Careers - Job Search”, then “Search Jobs" (Job Number - 1500793).

• 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.