We are the only professional services organization who has a separate service line dedicated exclusively to the financial services marketplace. Join Financial Services (FSO) and you will work with multi-disciplinary teams from around the world to provide a global perspective. Aligned to key industry groups including asset management, banking and capital markets, insurance and private equity, we provide highly integrated advisory, assurance, tax, and transaction services.
Join 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. Sound interesting? Well this is just the beginning. Because whenever you join, however long you stay, the exceptional EY experience lasts a lifetime. Wide breadth of services of FSRM including, but not limited to:
- Undertake risk management advice, remediation and transformation
- Conduct risk management framework design and operational effectiveness
- Enterprise risk and controls advisory
- Regulation and compliance advisory
- Financial crimes, AML and sanctions advisory
- Specialist risk support for delivery of advisory, internal and external audit services.
- Future operating models
- Responding to regulatory criticism and regulatory preparedness
- Providing guidance on current and emerging control practices
- Advising clients on risk culture, conduct and accountability regimes and practices
- Conduct important proactive assessments and assurance around the effectiveness of controls and company processes, while also providing objective advisory support
EY is seeking candidates for our Regulatory Compliance team within FSRM with experience in Securities sector.
Your key responsibilities
Lead EY projects with respect to:
- Substantive matters of current and emerging SFC and global regulatory expectations regarding key securities company compliance issues such as IPO sponsor, securities margin financing, client onboarding, suitability, sales practices, client money, KYC, robo advisory and corporate governance in securities firm (etc)
- Structure and function of securities firm compliance roles and responsibilities and business models
- Advice and guidance on structuring approaches to emerging regulatory compliance or regulatory exam findings
- Regulatory issue remediation
- Regulatory change management including planning and communication with regulators
- Support ‘mock exam’ reviews, policy development and drafting Assistance with relationship management between regulators and financial institutions
- Compliance Framework – understanding of core compliance functions: risk assessment, policy management, testing, monitoring and surveillance and reporting etc
- Support the revision or formulation of new policies and controls aligned with regulatory and compliance guidelines and requirements
To qualify for the role you must have
- University degree majoring in accounting, information systems, business or legal related subjects
- Around 6-8 years of solid experience in securities firms or regulators or reputable international accounting/consulting firms with in-depth knowledge of regulatory compliance and risk management in securities industry. Candidates with lesser experience will be considered at Senior Associate Level
- Robust practical experience in securities firms in the areas of internal controls, regulatory compliance, risk governance and operational knowledge
- Good influencing skills and stakeholder relationship management skills; Advanced conflict management/ resolution skills with Project coordination experience
- Strong report-writing skills, with ability to create and organize varying forms of business information while developing it into cohesive, meaningful, professional reports and presentations
- Familiar with the regulatory environment of Hong Kong with experience in liaising with the SFC
- Good knowledge in securities laws, rules and regulations and operations as well as different products and services offered by securities firms
- Good command of both written and spoken English and Chinese. Proficient in Mandarin is preferred
- Ability to interact with executive levels of client and EY management
- Ability to travel
What working at EY offers
- Support, coaching and feedback from some of the most engaging colleagues around
- Opportunities to develop new skills and progress your career
- The freedom and flexibility to handle your role in a way that’s right for you
As a global leader in assurance, tax, transaction and advisory services, we’re using the finance products, expertise and systems we’ve developed to build a better working world. That starts with a culture that believes in giving you the training, opportunities and creative freedom to make things better. Whenever you join, however long you stay, the exceptional EY experience lasts a lifetime. And with a commitment to hiring and developing the most passionate people, we’ll make our ambition to be the best employer by 2020 a reality.
If you can confidently demonstrate that you meet the criteria above, please contact us as soon as possible. Join us in building a better working world. Apply now.