Financial Crime Compliance - Senior - Broker-Dealer
Financial Crime Compliance - Senior - Broker-Dealer
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Job Description
At EY youll 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 were 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.
Job Specifications
Financial Crime Compliance BrokerDealer Supervision Review
Job Specifications for the role
JOB TITLE::Senior Analyst
FUNCTION::Business Consulting
REPORTS TO::Team Lead/Project Manager
SUB FUNCTION::Financial Crime Compliance
About EY Global Delivery Services (GDS) and Job Purpose
Global Delivery Services (GDS) consists of various service delivery centres from which our Client Service and Enablement Services teams operate to deliver strategic support to our EY member firms. GDS is one of EYs greatest global assets with 27000 smart dedicated and incredibly responsive people in five countries around the world. It plays an important role in EYs growth strategy by providing efficient and effective support to our service lines and enablement functions.
GDS spans all geographies practices services lines sectors and competencies within EY to deliver deeply integrated services that result in efficient and worldclass solutions.
The Compliance (Financial Crime Consulting) Team at GDS partners with other EY offices across the globe to provide an array of compliance solutions to our clients. The team works on short to long term engagements to provide assistance in establishing maintaining and reviewing the outputs of business functions and compliance programs.
Our Financial Crime Consulting team consists of hundreds of professionals who advise and drive change for the firms banking capital markets insurance digital payments crypto exchange nonbanking financial institutions and asset management clients on Financial Crime.
Our Financial Crime Consulting team requires specialization in following competencies:
- Knowledge of FINRA SEC and other relevant US rules and regulations.
- Processes related to US BrokerDealers or Registered Investment Advisors.
- Email surveillance and annuities supervision
- Monitoring of outside business affiliations registrations and review of marketing materials.
- Reporting and Documentation
- Regulatory compliance
- Wealth and asset management
- Risk Assessment
KEY ROLES & RESPONSIBILTIES:
- You will be playing a critical role in supporting our clients in ensuring compliance with laws and regulations aimed at preventing money laundering and financing.
- Ensures that every case is investigated with a very high focus on quality.
- Responsible for quality check assisting the manager and ensuring smooth delivery of work.
JOB COMPETENCY:
Educational Qualification
- Strong academic background including a masters degree in finance Economics Accounting Commerce or a related field
Knowledge/Skills & Attributes
- Knowledge of FINRA SEC and other relevant US rules and regulations.
- Understand principles and processes related to the governance and oversight of operations for US BrokerDealers or Registered Investment Advisors.
- Assist clients in operations related to supervisory functions including but not limited to email surveillance annuities supervision monitoring of outside business affiliations registrations and review of marketing materials.
- Aid in the training and development of team members on regulatory requirements product knowledge and advisory best practices.
- Engage with internal and external stakeholders to ensure a cohesive approach to wealth management solutions.
- Indepth knowledge in AML compliance performing Sanctions screening payment screening correspondent banking and regulatory reporting.
- High level of attention to detail and accuracy in reviewing data and completing tasks.
- Good communication skills including responsiveness and commitment to quality are one of your strong sides.
- Must be a strong team player who has a good understanding of prioritizing tasks in a fastpaced environment.
- Will be able to work to tight deadlines and manage own workflow/priorities accordingly.
- Proactive with a focus on continuous learning and staying up to date with the latest compliance and sanctionsrelated developments.
- PC Proficiency including MS Office applications.
Work Experience
- 47 years of relevant experience in the wealth and asset management sector specifically with brokerdealers or registered investment advisors.
Certification Requirements
- Professional certification (CAMS CFE ICA CCI or equivalent) will be a good addition.
EY Building a better working world
EY exists to build a better working world helping to create longterm 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.
Required Experience:
Senior IC
Employment Type
Full Time
