US Compliance Program Monitoring Senior Associate
At EY, we'll help you succeed in a globally connected powerhouse of diverse teams and take your career wherever you want it to go. Join EY and help to build a better working world. 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 include :
Design and execute risk-based monitoring processes, reporting, and analysis across compliance areas to identify potential policy and regulatory compliance issuesProvide oversight, analyze results, and identify trends to help Compliance Area Leaders manage risksCollaborate with cross-functional teams to ensure accuracy in data collection and reporting processes, and create and maintain results dashboards in Power BIRecommend improvements to monitoring processes in accordance with EY guidance and professional standardsAssess regulatory changes, resulting risks, and potential impact on compliance monitoring activitiesAssist with oversight activities, including quarterly validation, annual certification, and ethics analysisGain an understanding of firm policies and regulatory requirements, and translate this knowledge into action plans and recommendations to address risksDocument procedures to meet internal and external review requirementsAssist with the execution of project plans, including goals and measuresPartner with data specialists to continually improve EY's compliance monitoring programSkills and attributes for success include :
Strong analytical and data interpretation skillsAbility to write clear processes and procedure manualsTechnical proficiency with analytical and project management toolsWell-developed organizational skills and ability to coordinate processes and projects across multiple internal stakeholder groupsIndependent problem-solving and decision-makingHigh degree of personal ownership and accountability, with the ability to prioritize workload and deliver credible outputs within strict deadlinesUnderstand the need for change initiatives and act as a positive advocate for necessary changesAnalytical approach to evaluate existing processes to offer innovative ideas for improvementTo qualify, candidates must have :
Strong research and problem-solving skillsAstute attention to detailOutstanding verbal and written communication skillsProficient technology skills (Microsoft Office, SharePoint, workflow tools such as Archer are a plus)Ability to successfully handle multiple tasks in a timely mannerHighest level of ethics and integritySolid understanding of compliance monitoring methodologiesKnowledge of DOJ compliance program guidanceBachelor's degree or equivalent work experienceApproximately 3 5+ years related experienceAt 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. Join us in our team-led and leader-enabled hybrid model. 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.
EY | Building a better working world
EY is building a better working world by creating new value for clients, people, society and the planet, while building trust in capital markets. Enabled by data, AI and advanced technology, EY teams help clients shape the future with confidence and develop answers for the most pressing issues of today and tomorrow. EY teams work across a full spectrum of services in assurance, consulting, tax, strategy and transactions. Fueled by sector insights, a globally connected, multi-disciplinary network and diverse ecosystem partners, EY teams can provide services in more than 150 countries and territories.