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Assistant Manager – Global Compliance

About Risk Management and GDS Risk Management Services (RMS)

Our business is highly regulated and EY is a complex, matrixed organization. Managing risk is of paramount importance to our brand and reputation, and our Risk Management team works side-by-side with the business to do this. Our aim is to enable responsible growth and that means working with the business to identify, monitor and manage risk, and consult and advise. Through oversight of key risk issues and processes related to Risk, Monitoring and Compliance we help maximize public trust and enable EY to responsibly provide excellent client service.

Risk Management Services (RMS) is an internal function within GDS, responsible for protecting the organization from the risks that may arise from its professional practice. We work closely with all parts of the organization to identify and manage risks, providing coordinated advice and assistance on Independence, Conflicts, Compliance, regulatory, policy and security issues as well as dealing with claims and queries regarding ethics. We offer over 60 competencies to support all EY Regions. Our team is based across four countries: India (Gurgaon, Kochi and Bangalore), Poland (Wroclaw) and Philippines (Manila).

The opportunity

Global Compliance is a service function in the EY enablement portfolio within Global Risk Management that has been established to work with the business to assist in the design and implementation of a compliance testing framework. Global Compliance has within its scope the engagement testing and supplemental control testing.

Team manages and assess the implementation of the Global Financial Crime Compliance Programs and the review of the Global FinCrime compliance framework. Perform Engagement testing which is a consistent, risk-based compliance evaluation based on a single set of compliance attributes across Service Lines. As part of supplemental control compliance testing, Team performs testing on FinCrime topics and provide subject matter expertise to Region and Country RM teams across the globe and assist the business in FinCrime consultations.   

We’re looking for an Assistant Manager with 7+ years of experience in compliance processes including testing procedures. This is a great opportunity to be part of a leading firm whilst being instrumental in contributing to strengthening the compliance framework of the firm.

The incumbent should have subject matter expertise on financial crime compliance areas (such as Anti-money Laundering, Anti-Bribery and Corruption, Insider Trading etc.). The person shall be primary point of contact for global, area, regional and country risk management teams. S/he will be responsible for the team management, team’s productivity, quality of service, operational aspects of the process, reporting, performance management and development of the team members.

Your key responsibilities

Apply subject matter expertise from Financial Crime topics and lead updates to the Compliance framework and Compliance Programs
Lead development of testing principles and procedures from designing the process standpoint considering perspectives of multiple stakeholder groups we address to
Acts as a liaison between Global, Regional and Country Risk Management office and the team members
End to end management of the compliance processes including but not limited to:
Lead the technical aspect of the testing processes
Guide the team on defining the procedures
Analyze the requirements and responses from country/regional risk management teams including MLROs on testing results and apply process judgement to identify potential non-compliance
Manage process documentation and trackers to ensure accuracy and completeness
Guide the team for process management templates, trackers using excel to make the data management, reporting, monitoring steps seamless
Ensure that reporting requirements are completed accurately and timely.

Regarding operational aspects of the process and people management, below are the key focus areas:

Manage efficiency and productivity of team members
Work allocation and ensure delivery in agreed timelines
Responsible for quality of output through internal review mechanisms and ensure quality measurement & reporting
Coach team members and provide timely feedback
Identify and recommend required learning and development training programs
Lead change management in an effective manner and ensure relevant stakeholders are informed and consulted, as needed
Drive efficiency initiatives for the process and the team
Drive team building activities
Capacity planning based on forecasted work volumes.
Lead recruitment of resources
Stay abreast of emerging trends and lessons learned. Create and deliver presentations to communicate new developments, updates etc.

Skills and attributes for success

Strong financial crime topics knowledge and technical experience with a solid understanding of regulatory requirements
Strong communication skills, capable of dealing with a wide range of employees from analysts to partners
Experienced professional whose knowledge has been expanded through exposure to diverse and/or complex situations and who can work independently
Exceptional and proven customer service skills, including responsiveness and commitment to quality. Ability to listen to, and accurately capture others’ expectations and concerns; should be clear and concise when responding to questions
Highly developed project management skills
Teaming attitude and excellent inter-personal and leadership skills
Succinct and structured verbal and written communication skills with proven ability to explain in a crisp, clear and concise manner
Innovative mindset and adaptive to changing technologies
Proficient in MS excel, word and PowerPoint.

To qualify for the role, you must have

Bachelors or master’s degree from a reputed college
At least 7+ years of experience in compliance/testing procedures domain
Experience in managing Compliance functions
Demonstrated ability to manage and lead teams (minimum 10 team members)
Demonstrated ability to execute against project plans and expectations
Demonstrated ability to interact with leadership and stakeholders
Experience with applications or programs like MS Forms, Power BI and SharePoint lists would be preferred.

Ideally, you’ll also have

Credible experience working in a fast-moving, client-driven environment.

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 Executive risk management teams on strengthening 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. We’ll introduce you to an ever-expanding ecosystem of people, learning, skills and insights that will stay with you throughout your career. 

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. 

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