Career Family: Risk Management Services               

Role Type: Associate

Associate UK Compliance and Risk - Compliance Monitoring & Acquisitions

Risk Management team at EY plays an important role in managing the internal risks of the firm associated with accepting a new client or an engagement or risks associated with any of our on-going audit / non audit engagement. Formed in the Year 2007, the Risk Management team is growing rapidly as a Center of Excellence for all standardized quality / compliance related activities that can be efficiently undertaken from Global Delivery Services location.

The opportunity

The team supports Global Risk Management in rapidly deploying professionals on ad-hoc, outcome-based projects as well as acts as an incubator for new RM services. It is an extension of the onshore RM teams and helps in streamlining existing processes, onboarding new opportunities, designing end-to-end processes, and managing specific project activities.

The incumbent shall be responsible for the timely execution of data led compliance monitoring to identify any potential non-compliance with policy/guidance or any potential regulatory breaches. This will include data sourcing, aggregation and analysis, performance of standardized compliance checks in line with pre agreed compliance procedures and rules, reporting and escalation of results.

Your key responsibilities

Technical expertise

• Developing subject matter expertise to support the due diligence checks for the clients and suppliers before the acquisitions.
• Complete data management activity for the acquisitions including but not limited to:
  • Maintaining and adhering to the process schedule
  • Performing the required research and analysis in line with policy requirements to identify potential non-compliance in a timely manner
  • Integration plan action tracking and associated administration
  • Identifying any nuances, analysing the probable cause & effect, and highlighting it to the stakeholders
  • Working with the team for further enhancements of the processes
  • Supporting the process documentation and ensuring process trackers are current and accurate
• Reporting:
  • Enabling the leadership reports using MS Excel, Power Bi and PowerPoint
  • Agility with large amounts of data, creation of presentations with ability to validate data accuracy by performing spot checks and reviews
• Supporting various compliance monitoring processes like (but not limited to):
  • Insider Trading
  • Modern Slavery
  • Consultant Lobbying
  • Client and Engagement Acceptance
  • Internal Admit Partner Risk Management Testing
  • Quality & Effective Risk Management assessment

Skills and attributes for success

Essentials:

• Capable of identifying issues and analyse scenarios against policy requirements
• Absolute fluency in spoken and written English; excellent listening comprehension skills
• Experience with applications like MS Excel, Forms, SharePoint etc.
• Prior experience of working on Risk Management tools and enabling risk assessments for acquisitions would be an added advantage
• Strong logical and reasoning skills with knowledge of Risk frameworks

Preferred:

• Ability to operate and flex in an ambiguous and changing environment to respond to emerging priorities.
• Experience of working as per deadlines and delivering high quality output & working in a fast-moving, global client-driven environment.
• Ability to work independently with well-developed problem-solving skills and understanding of processes.

To qualify for the role, you must have

• At least 3-5 years of experience in:
  • Research/Compliance processes involving due diligence or file review / data review
  • Monitoring compliance with policies using Risk frameworks to perform risk assessments
  • Stakeholder interaction and management
  • Data analysis and data management
  • Please note: Training will be provided to supplement existing experience

Ideally, youll also have

• Basic project management skills
• Ability to operate and flex in an ambiguous and changing environment to respond to emerging priorities
• Experience of working as per deadlines and delivering high quality outputs
• Credible experience working in a fast-moving, client-driven environment

Technologies and Tools

• Experience with applications like MS Forms, SharePoint etc
• Experience with MS office applications
• Proficient with Power BI

What you can look for

• A Team of people with commercial acumen, technical experience and enthusiasm to learn new things in this fast-moving environment
• A team which has its foundation in the core values of trust, respect and teaming. The team which focuses on supporting its colleagues to excel in their respective domains and provides avenues to help acquire and demonstrate new skills.
• Opportunities to work with Global risk management teams on strengthening and monitoring compliance framework

What we offer

EY Global Delivery Services (GDS) is a dynamic and truly global delivery network. We work across six locations Argentina, China, India, the Philippines, Poland and the UK and with teams from all EY service lines, geographies and sectors, playing a vital role in the delivery of the EY growth strategy. From accountants to coders to advisory consultants, we offer a wide variety of fulfilling career opportunities that span all business disciplines. In GDS, you will collaborate with EY teams on exciting projects and work with well-known brands from across the globe. Well introduce you to an ever-expanding ecosystem of people, learning, skills and insights that will stay with you throughout your career.

• 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.