Financial Services Risk Consulting Sector Compliance - Manager

This position could be located in CA

EY is a leader in serving the global financial services marketplace and the only professional services firm with a separate business unit dedicated to the financial services industry the Financial Services Organization (FSO). Our focused model and bold ambition have put us at the center of the events that continue to reshape and redefine our industry working side by side with a range of clients from our most venerable institutions to dynamic new entrants across Banking and Capital Markets Wealth and Asset Management Insurance and Real Estate Hospitality and Construction. Our purpose is to help build a financial services industry in which financial institutions are trusted and flourish and the global economy is healthy growing and secure. If you have a passion for rallying together to solve complex challenges then come join our dynamic FSO team!

The opportunity:

The Regulatory Compliance Team focuses on services to financial organizations such as Global Financial Technology companies community and regional banks digital assets companies and banking as a service sponsor banks that address FRB OCC FDIC state banking regulators and other regulatory requirements for banking money transmitter Bit License and trust compliance. This includes solutions such as:

• Compliance program assessment
• Compliance program design and implementation assistance
• Compliance program remediation
• Development of compliance policies and procedures
• Compliance program testing
• Regulatory inquiry assistance
• Regulatory examination readiness
• License/Charter Application Support
• Regulatory Applicability Assessment

Our team focuses on innovative financial services topics such as embedded finance banking as a service and digital assets.

As a Governance Risk and Compliance Manager in Enterprise Risk Management you will be at the forefront of designing and implementing a comprehensive framework that addresses all facets of risk governance and compliance. This is a chance to influence multiple functions including risk assessment governance integrity data management and fraud prevention while ensuring alignment with regulations and oversight bodies. Your strategic direction will shape the controls and methodologies that safeguard our organizations future.

Your key responsibilities

In this pivotal role you will be responsible for setting the strategic direction for governance frameworks managing complex technical initiatives and driving quality and risk management. You will collaborate with forensic experts to enhance fraud controls and provide toptier governance advice to board members. Your daytoday will involve:

• Managing and delivering solutions or projects with a focus on quality and risk.
• Seeking process improvements and identifying innovative solutions.
• Overseeing billability workstream deliveries project management and engagement economics.
• Frequent travel and client interactions contributing to sales growth and RFP responses.

Skills and attributes for success

To thrive in this role you will need a blend of technical expertise and business acumen along with the ability to manage and inspire a team. As a Manager you will lead our consulting engagement teams in supporting our clients manage risk and solve complex global regulatory issues. Through a broad scope of engagements mentoring and formal learning you will develop your career and work with colleagues to analyze our clients challenges and create effective solutions. You will work with EYs senior leaders to understand project approaches develop clientdelivered material contribute to business development activities and research emerging issues in the financial services will be a primary point of contact for our junior team members and responsible for the timely delivery of quality work products to our clients

Your skills and attributes should include:

• Compliance management software expertise.
• Enterprise risk strategy optimization.
• Organizational control model design.
• Client relationship management and negotiation skills.
• Critical thinking and a global mindset.
• Staying abreast of timely regulatory and risk management updates while understanding clients unique challenges within their businesses.
• Collaborating with colleagues and leadership you will manage and deliver outstanding work products.
• You are a selfstarter and naturally inquisitive with a strong ability to research and think through challenging questions.

To qualify for the role you must have

• A Bachelors degree in a relevant field (MBA/MS preferred) in finance economics accounting engineering or a related discipline and between.
• 5 years of relevant experience.
• Knowledge of financial services compliance practices including the CMS AML and Sanctions or enterprise risk frameworks as disseminated by the federal and state regulatory bodies
• A valid drivers license and passport required; willingness and ability to travel up to 10
• Compliance Management Software
• Critical Evaluation
• Enterprise Risk Strategy Optimization
• ESGErm Integration
• Financial Service Capabilities
• Impact Assessment
• Impact Measurement
• Organizational Control Model Design
• Policy and procedure implementation and control
• Response Planning
• Risk Identification
• Stakeholder Management

Ideally youll also have

• Prior consulting experience preferred along with effective leadership project management and teamwork skillstrong understanding of global regulatory environments and the ability to navigate and advise on complex regulatory issues.
• Experience in leading digital transformation initiatives within risk management functions.
• Proven ability to build and maintain strong client relationships delivering clientcentric solutions.
• A track record of mentoring and developing junior team members and contributing to the growth of the practice.
• Experience working at or with FinTechs or banking as a service sponsor banks
• Experience leading project teams in a collaborative manner
• Experience managing a diverse workload alongside team mentorship and coaching
• Relevant experience with the federal or state banking regulators is a plus
• Experience with the design development and implementation of internal controls for financial services business processes is a plus
• Strong written and verbal communication skills for report writing and client presentations
• Analytical skills; specifically the ability to assess and decompose financial services industry processes utilizing a risk and control focus

What we look for

We seek top performers with a proven track record of success who can navigate complex challenges with strategic thinking and a collaborative spirit. The ideal candidate will have a passion for excellence a commitment to continuous improvement and the ability to inspire others to achieve great results.

• Continuous learning: Youll develop the mindset and skills to navigate whatever comes next.
• Success as defined by you: Well provide the tools and flexibility so you can make a meaningful impact your way.
• Transformative leadership: Well give you the insights coaching and confidence to be the leader the world needs.
• Diverse and inclusive culture: Youll be embraced for who you are and empowered to use your voice to help others find theirs.