Regulatory Compliance (Financial Services) Manager, Business Consulting

Competitive remuneration package
08 Sep 2020
17 Sep 2020
Approved employers
Approved employer
Contract type
Full time
Experience level

We are the only professional services organization who has a separate business dedicated exclusively to the financial services marketplace. Join Financial Services (FSO) and you will work with multi-disciplinary teams from around the world to deliver a global perspective. Aligned to key industry groups including asset management, banking and capital markets, insurance and private equity, we provide integrated advisory, assurance, tax, and transaction services.

The Opportunity

EY is seeking Manager candidates with experience in Investment Banking and Capital Markets regulatory compliance to join our Financial Services Risk Management Consulting team. As part of the Financial Services Risk Management (FSRM) practice and you will provide a well-integrated broad array of risk management services to capital market participants within global banking, capital markets, asset management and insurance. FSRM products and services include Anti-Money Laundering, Regulatory Compliance, Prudential Supervision, Bank Holding Company reporting, Credit Risk/ Capital Adequacy/ Liquidity Risk, Market Risk, Operational Risk, Enterprise Risk, Structured Finance and Quantitative Advisory Services.

Your Key Responsibilities

As a Manager in the Risk Management team, you will be required to lead EY services in the market through business development, sales, project planning and high quality project execution. You will be leading projects relating to:

  • Advice and guidance on structuring approaches to emerging regulatory compliance or regulatory exam findings
  • Regulatory issue remediation
  • Regulatory change management including planning and communication with regulators
  • Support ‘mock exam’ reviews, policy development and drafting etc
  • Assistance with relationship management between regulators and financial institutions
  • Technical skills in on or more of the following areas relevant to investment banking and capital markets compliance:
    • Institutional / Investment banking compliance – compliance requirements for key topics and compliance issues relevant to capital markets activity including conflicts of interest, information barriers, insider trading, restricted trading / control room processes, market abuse and conduct
    • Compliance Framework – understanding of core compliance functions and related technology applications addressing compliance risk assessment, policy management, testing, monitoring and surveillance and reporting.
  • Specific regulatory knowledge and experience should ideally cover MAS expectations plus some understanding of comparable regulation in other major APAC (i.e. HKMA, SFC) and global (US, UK) jurisdictions.

Skills and Attributes for Success

  • Ability to develop and implement practical client solutions and execute projects based on key compliance principles.
  • Analytical skills; specifically, the ability to assess and decompose financial services industry processes utilizing a risk and control focus
  • Effective leadership, project management and teamwork skills
  • Strong presentation skills and proficiency in the use of PowerPoint, Word and Excel

To Qualify for the role, you must have

  • Minimum 5 years’ experience in regulatory compliance in banking, insurance, asset management, and/ or in big public accounting firms.
  • Graduate degree in law, finance or commerce preferred.
  • Industry related certification (e.g., CPA/ CA, CIA, CMA, RICS)
  • Strong understanding of regulatory expectations such as MAS.
  • Substantive content knowledge of key compliance principles applicable to:
    • Investment Banking/ Capital Markets (public and private)
    • Wealth Management/ Private Banking

Ideally, you’ll also have

  • Post-graduate qualifications in, commerce or risk management
  • Significant relevant consulting, risk management or business expertise within a Retail/ Commercial/ Corporate bank or consulting firms

What we look for

Highly motivated individuals with excellent problem-solving skills and the ability to prioritize shifting workloads in a rapidly changing industry. An effective communicator, you’ll be a confident team player that collaborates with people from various teams while looking to develop your career in a dynamic organization.

What working at EY offers

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. We also offer you:

  • Support, coaching and feedback from some of the most engaging colleagues around
  • Opportunities to develop new skills and progress your career
  • The freedom and flexibility to handle your role in a way that’s right for you

About EY

As a global leader in assurance, tax, strategy and transactions and consulting services, we hire and develop the most passionate people in their field to help build a better working world. This starts with a culture that believes in giving you the training, opportunities and creative freedom to make things better. So that whenever you join, however long you stay, the exceptional EY experience lasts a lifetime. And with a commitment to hiring and developing the most passionate people, we’ll make our ambition to be the best employer by 2020 a reality.

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

Join us in building a better working world.

For further information, and to apply, please visit our website via the “Apply” button below.

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