US Compliance Program - Monitoring Senior Associate

US Compliance Program Monitoring Senior Associate

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Role Summary :

As a Compliance Program Monitoring Senior Associate, you will support the US Ethics & Compliance Program by :

• Collaborating with Compliance Area Leaders to identify potential regulatory non-compliance or elevated risks within the business
• Executing integrated monitoring, reporting, and oversight
• Creating and running data tests to interrogate transaction data and identify risk indicators and trends

You'll work independently, with periodic feedback.

Key Responsibilities :

Design and execute risk-based monitoring processes, reporting, and analysis across compliance areas to identify potential policy and regulatory compliance issues. Provide oversight, analyze results, and identify trends to help Compliance Area Leaders manage risks. Collaborate with cross-functional teams to ensure accuracy in data collection and reporting processes, and create and maintain results dashboards in Power BI. Recommend improvements to monitoring processes in accordance with EY guidance and professional standards. Assess regulatory changes, resulting risks, and potential impact on compliance monitoring activities. Assist with oversight activities, including quarterly validation, annual certification, and ethics analysis. Gain an understanding of firm policies and regulatory requirements, and translate this knowledge into action plans and recommendations to address risks. Document procedures to meet internal and external review requirements. Assist with the execution of project plans, including goals and measures. Partner with data specialists to continually improve EY's compliance monitoring program.

Skills and Attributes for Success :

Strong analytical and data interpretation skills. Ability to write clear processes and procedure manuals. Technical proficiency with analytical and project management tools. Well-developed organizational skills and ability to coordinate processes and projects across multiple internal stakeholder groups. Independent problem-solving and decision-making. High degree of personal ownership and accountability, with the ability to prioritize workload and deliver credible outputs within strict deadlines. Understand the need for change initiatives and act as a positive advocate for necessary changes. Analytical approach to evaluate existing processes to offer innovative ideas for improvement.

To Qualify, Candidates Must Have :

Strong research and problem-solving skills. Astute attention to detail. Outstanding verbal and written communication skills. Proficient technology skills (Microsoft Office, SharePoint, workflow tools such as Archer are a plus). Ability to successfully handle multiple tasks in a timely manner. Highest level of ethics and integrity. Solid understanding of compliance monitoring methodologies. Knowledge of DOJ compliance program guidance. Bachelor's degree or equivalent work experience. Approximately 3 5+ years related experience.

What We Offer You :

We offer a comprehensive compensation and benefits package where you'll be rewarded based on your performance and recognized for the value you bring to the business. The base salary range for this job in all geographic locations in the US is $64,200 to $116,400. The base salary range for New York City Metro Area, Washington State and California (excluding Sacramento) is $77,000 to $132,300. In addition, our Total Rewards package includes medical and dental coverage, pension and 401(k) plans, and a wide range of paid time off options. Join us in our team-led and leader-enabled hybrid model. Under our flexible vacation policy, you'll decide how much vacation time you need based on your own personal circumstances. You'll also be granted time off for designated EY Paid Holidays, Winter / Summer breaks, Personal / Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being.

EY | Building a better working world

EY is building a better working world by creating new value for clients, people, society and the planet, while building trust in capital markets. Enabled by data, AI and advanced technology, EY teams help clients shape the future with confidence and develop answers for the most pressing issues of today and tomorrow. EY teams work across a full spectrum of services in assurance, consulting, tax, strategy and transactions. Fueled by sector insights, a globally connected, multi-disciplinary network and diverse ecosystem partners, EY teams can provide services in more than 150 countries and territories. EY provides equal employment opportunities to applicants and employees without regard to race, color, religion, age, sex, sexual orientation, gender identity / expression, pregnancy, genetic information, national origin, protected veteran status, disability status, or any other legally protected basis, including arrest and conviction records, in accordance with applicable law.? EY is committed to providing reasonable accommodation to qualified individuals with disabilities including veterans with disabilities. If you have a disability and either need assistance applying online or need to request an accommodation during any part of the application process, please call 1-800-EY-HELP3, select Option 2 for candidate related inquiries, then select Option 1 for candidate queries and finally select Option 2 for candidates with an inquiry which will route you to EY's Talent Shared Services Team (TSS) or email the TSS at ssc.customersupport@ey.com.