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EY

Regulatory Compliance (Financial Services) Senior Consultant, Business Consulting

At EY, you'll 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 we're 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.

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 consulting, assurance, tax, and strategy & transaction services.

The Opportunity

Join the Financial Services Risk Management 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.

With so many offerings, you have the opportunity to develop your career through a broad scope of engagements, mentoring and formal learning. That's how we develop outstanding leaders who team to deliver on our promises to all of our stakeholders, and in so doing, play a critical role in building a better working world for our people, for our clients and for our communities. Sounds interesting? Well, this is just the beginning. Because whenever you join, however long you stay, the exceptional EY experience lasts a lifetime.

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.
  • Technical skills in one or more of the following areas relevant to investment banking, capital markets, consumer, private banking or private wealth management 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.
    • Private banking / wealth management - compliance experience relating to key topics regarding suitability, sales practices, new product processes, client money.
    • Retail / consumer banking - consumer protection, conduct, treating customers fairly, mortgage and consumer lending regulation.
    • Experience with respect to suitability in either PB or Consumer is particularly sought, including client and product risk assessment, qualitative and quantitative assessment of suitability, and oversight, governance and review of suitability frameworks.
    • 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.

As a Senior Consultant in the Financial Services Risk Management team, you will be working on projects relating to:
  • Advice and guidance on structuring approaches to emerging regulatory compliance or regulatory exam findings.
  • Regulatory gap assessment and issue remediation.
  • Regulatory change management including planning and communication with regulators.
  • Culture and conduct reviews
  • Support 'mock exam' reviews, policy development and drafting etc.
  • Assistance with relationship management between regulators and financial institutions.

To Qualify for the role you must have
  • 3 to 6 years' experience in regulatory compliance in banking, insurance, asset management, and/ or in consulting or big public accounting firms. Candidates with lesser experience will be considered at Associate Level.
  • Graduate degree in law, finance or commerce preferred. Ideally, you'll also have post-graduate qualifications in commerce or risk management
  • Industry related certification (e.g., CPA/ CA, CIA, CMA, RICS) will be an added advantage.
  • Good understanding of regulatory expectations such as MAS. Content knowledge of key compliance principles applicable to Investment Banking/ Capital Markets (public and private), Wealth Management/ Private Banking, Retail/ Consumer banking.
  • Experience in following activities:
    • Present results to Senior and Executive Management.
    • Understand and adhere to the clients' risk and regulatory standards, policies and controls in accordance with the clients' risk Appetite. Identify risk-related issues needing escalation to management.

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 we offer

Continuous learning: You'll develop the mindset and skills to navigate whatever comes next.

Success as defined by you: We'll provide the tools and flexibility, so you can make a meaningful impact, your way.

Transformative leadership: We'll give you the insights, coaching and confidence to be the leader the world needs.

Diverse and inclusive culture: You'll be embraced for who you are and empowered to use your voice to help others find theirs.

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

The exceptional EY experience. It's yours to build.

Apply now.

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