Senior, Broker Dealer

Financial Crime Compliance - Broker-Dealer

About EY Global Delivery Services (GDS) and Job Purpose

Global Delivery Services (GDS) consists of various service delivery centers from which our Client Service and Enablement Services teams operate to deliver strategic support to our EY member firms. GDS is one of EYs greatest global assets with 27,000 smart, dedicated and incredibly responsive people in five countries around the world. It plays an important role in EY’s growth strategy by providing efficient and effective support to our service lines and enablement functions.

GDS spans all geographies, practices, services lines, sectors, and competencies within EY to deliver deeply integrated services that result in efficient and world-class solutions.

The Compliance (Financial Crime Consulting) Team at GDS partners with other EY offices across the globe to provide an array of compliance solutions to our clients. The team works on short to long term engagements to provide assistance in establishing, maintaining, and reviewing the outputs of business functions and compliance programs.

Our Financial Crime Consulting team consists of hundreds of professionals who advise and drive change for the firm’s banking, capital markets, insurance, digital payments, crypto exchange, non-banking financial institutions and asset management clients on Financial Crime.

Work Experience

• 3-12 years of relevant experience in the wealth and asset management sector, specifically with broker-dealers or registered investment advisors.

Registration Link - https://careers.ey.com/job-invite/1585351/

Our Financial Crime Consulting team requires specialization in following competencies:

• Knowledge of FINRA, SEC, and other relevant US rules and regulations.
• Processes related to US Broker-Dealers or Registered Investment Advisors.
• E-mail surveillance and annuities supervision
• Monitoring of outside business affiliations, registrations, and review of marketing materials.
• Reporting and Documentation
• Regulatory compliance
• Wealth and asset management
• Risk Assessment

KEY ROLES & RESPONSIBILTIES:

• You will be playing a critical role in supporting our clients in ensuring compliance with laws and regulations aimed at preventing money laundering and terrorist financing.
• Ensures that every case is investigated with a very high focus on quality.
• Responsible for quality check, assisting the manager and ensuring smooth delivery of work.

Educational Qualification

• Strong academic background, including a master’s degree in finance, Economics, Accounting, Commerce, or a related field

Knowledge/Skills & Attributes

• Knowledge of FINRA, SEC, and other relevant US rules and regulations.
• Understand principles and processes related to the governance and oversight of operations for US Broker-Dealers or Registered Investment Advisors.
• Assist clients in operations related to supervisory functions, including but not limited to e-mail surveillance, annuities supervision, monitoring of outside business affiliations, registrations, and review of marketing materials.
• Aid in the training and development of team members on regulatory requirements, product knowledge, and advisory best practices.
• Engage with internal and external stakeholders to ensure a cohesive approach to wealth management solutions.
• In-depth knowledge in AML compliance performing Sanctions screening, payment screening, correspondent banking and regulatory reporting.
• High level of attention to detail and accuracy in reviewing data and completing tasks.
• Good communication skills, including responsiveness and commitment to quality are one of your strong sides.
• Must be a strong team player who has a good understanding of prioritizing tasks in a fast-paced environment.
• Will be able to work to tight deadlines and manage own workflow/priorities accordingly.
• Proactive, with a focus on continuous learning and staying up to date with the latest compliance and sanctions-related developments.
• PC Proficiency, including MS Office applications.
  

Certification Requirements

• Professional certification (CAMS, CFE, ICA, CCI or equivalent) will be a good addition.