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Fin Services Risk Managem Adv - FSRM - Sector Comp - FSO - Manager - Multiple Positions - 1500793

EY

EY

Charlotte, NC, USA
Posted on Saturday, April 27, 2024
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 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).

What we offer
We offer a comprehensive compensation and benefits package where you’ll be rewarded based on your performance and recognized for the value you bring to the business. The base salary for this job is $116,000.00 per year. 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, pregnancy, genetic information, national origin, protected veteran status, disability status, or any other legally protected basis, including arrest and conviction records, in accordance with applicable law.
EY is committed to providing reasonable accommodation to qualified individuals with disabilities including veterans with disabilities. If you have a disability and either need assistance applying online or need to request an accommodation during any part of the application process, please call 1-800-EY-HELP3, type Option 2 (HR-related inquiries) and then type Option 1 (HR Shared Services Center), which will route you to EY’s Talent Shared Services Team or email SSC Customer Support at ssc.customersupport@ey.com
This particular position at Ernst & Young in the United States requires the qualified candidate to be a "United States worker" as defined by the U.S. Department of Labor regulations at 20 CFR 656.3. You can review this definition at https://www.gpo.gov/fdsys/pkg/CFR-2011-title20-vol3/pdf/CFR-2011-title20-vol3-sec656-3.pdf at the bottom of page 750. Please feel free to apply to other positions that do not require you to be a "U.S. worker".