US Compliance Program - Monitoring Senior Associate

US Compliance Program Monitoring Senior Associate

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Role Summary

As a Compliance Program Monitoring Senior Associate, you will support the US Ethics & Compliance Program by :

• Collaborating with Compliance Area Leaders to identify potential regulatory non-compliance or elevated risks within the business
• Executing integrated monitoring, reporting, and oversight
• Creating and running data tests to interrogate transaction data and identify risk indicators and trends

You'll work independently, with periodic feedback.

Key Responsibilities

Design and execute risk-based monitoring processes, reporting, and analysis across compliance areas to identify potential policy and regulatory compliance issues. Provide oversight, analyze results, and identify trends to help Compliance Area Leaders manage risks. Collaborate with cross-functional teams to ensure accuracy in data collection and reporting processes, and create and maintain results dashboards in Power BI. Recommend improvements to monitoring processes in accordance with EY guidance and professional standards. Assess regulatory changes, resulting risks, and potential impact on compliance monitoring activities. Assist with oversight activities, including quarterly validation, annual certification, and ethics analysis. Gain an understanding of firm policies and regulatory requirements, and translate this knowledge into action plans and recommendations to address risks. Document procedures to meet internal and external review requirements. Assist with the execution of project plans, including goals and measures. Partner with data specialists to continually improve EY's compliance monitoring program.

Skills and Attributes for Success

Strong analytical and data interpretation skills. Ability to write clear processes and procedure manuals. Technical proficiency with analytical and project management tools. Well-developed organizational skills and ability to coordinate processes and projects across multiple internal stakeholder groups. Independent problem-solving and decision-making. High degree of personal ownership and accountability, with the ability to prioritize workload and deliver credible outputs within strict deadlines. Understand the need for change initiatives and act as a positive advocate for necessary changes. Analytical approach to evaluate existing processes to offer innovative ideas for improvement.

To Qualify, Candidates Must Have

Strong research and problem-solving skills. Astute attention to detail. Outstanding verbal and written communication skills. Proficient technology skills (Microsoft Office, SharePoint, workflow tools such as Archer are a plus). Ability to successfully handle multiple tasks in a timely manner. Highest level of ethics and integrity. Solid understanding of compliance monitoring methodologies. Knowledge of DOJ compliance program guidance. Bachelor's degree or equivalent work experience. Approximately 3 5+ years related experience.

What We Offer You

At EY, we'll develop you with future-focused skills and equip you with world-class experiences. We'll empower you in a flexible environment, and fuel you and your extraordinary talents in a diverse and inclusive culture of globally connected teams. 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 range for this job in all geographic locations in the US is $64,200 to $116,400. The base salary range for New York City Metro Area, Washington State and California (excluding Sacramento) is $77,000 to $132,300. Individual salaries within those ranges are determined through a wide variety of factors including but not limited to education, experience, knowledge, skills and geography. 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. Join us in our team-led and leader-enabled hybrid model. Our expectation is for most people in external, client serving roles to work together in person 40-60% of the time over the course of an engagement, project or year. 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.

Are you ready to shape your future with confidence? Apply today. EY accepts applications for this position on an on-going basis. For those living in California, please click here for additional information. EY focuses on high-ethical standards and integrity among its employees and expects all candidates to demonstrate these qualities.