EY IT Advisory Senior, Financial Services, Regulatory Compliance – Traded Products and Wealth Management in New York, New York

IT Advisory Senior, Financial Services, Regulatory Compliance – Traded Products and Wealth Management


Requisition # NEW00L4K

Post Date Jan 04, 2019

We help some of the leading financial institutions in the world stay ahead of key regulatory requirements in the Banking and Capital Markets, Asset Management and Insurance spaces. We aim to deliver industry leading regulatory and technology insights to help our clients mitigate risks to their business. At EY, we hire professionals from around the world who have a diverse range of financial services, regulatory and technology backgrounds. This allows us to provide a broad range of advisory services in areas such as traded products and wealth management, financial crimes, consumer compliance, and regulatory transformation.

The opportunity

Our Traded Products and Wealth Management group is a rapidly growing and evolving area as we continue to help leading investment banks, broker dealers and asset managers deal with regulatory and compliance issues across some of the most interesting and highly complex areas in the industry, including electronic trading, regulatory trade and positions reporting, and holistic surveillance. You will liaise with key functions of our leading clients including business, compliance, technology and operations to provide strategic process or operating model enhancements, testing of key regulatory considerations, and identification and implementation of new technology solutions.

Your key responsibilities

You’ll likely spend most of your time working on teams comprised of practitioners with varied skill sets across banking and capital markets, regulatory compliance, technology and operations. You and your team will interact with clients to gain in-depth understanding of our clients’ unique needs and goals, before developing meaningful improvement insights. You may also be involved in helping the team review and comprehend existing and proposed regulations from regulatory agencies like FINRA and the SEC to determine the impact to our clients. Primarily, you’ll be involved in understanding the current business, regulatory and industry trends to deliver world class solutions to solve our clients’ toughest challenges.

Skills and attributes for success

  • Basic fundamental understanding of the trading lifecycle across different asset classes (e.g., equities, fixed income, derivatives)

  • General understanding of the financial market structure (e.g., exchanges, alternative trading systems/dark pools, etc.)

  • Experience with compliance analytics, metrics, dashboards and reporting (Data Analytics).

  • Basic understanding of FINRA, SEC broker-dealer regulations (e.g., Reg. ATS, Reg. NMS, Best Execution, 15c3-5 Market Access, etc.)

  • Experience on client facing engagements & client interactions and stakeholder management

  • Understanding and experience of basic software development lifecycle

  • Strong in business development activities and project management

  • Experience in summarizing and visualizing analysis results

  • Strong documentation skills – BRD/FRD, document client inputs, analysis findings etc.

  • Previous external or internal consulting experience

To qualify for the role you must have

  • A bachelor’s degree in one of the following fields of study: finance, computer science, information technology, management information systems, engineering

  • Two to four years’ work experience at a financial services or management consulting company working in one of the following areas: front-office trading, regulatory operations, regulatory reporting, compliance, compliance technology, middle office

  • A willingness to travel to meet client needs; travel is estimated at 50%. A valid driver’s license in the US and a valid passport required

Ideally, you’ll also have

  • Experience with Transaction and Electronic Communication Monitoring Vendor Solutions – SMARTS, Smarsh, Global Relay, Autonomy, etc.

  • Experience with Trade and Regulatory Reporting Vendor Solutions – Axiom, Sungard, Fidessa

  • Experience with Data and Compliance Analytics tools – SQL, Spotfire, Tableau, Qlikview

What we look for

We’re interested in leaders with the ability to deliver meaningful solutions to our clients. We seek passionate and personable individuals that are interested in the Banking and Capital Markets industry. If you desire a dynamic role with great exposure, this role is for you.

What working at EY offers

We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business. In addition, our Total Rewards package includes medical and dental coverage, both pension and 401(k) plans, a minimum of 15 days of vacation plus ten observed holidays and three paid personal days, and a range of programs and benefits designed to support your physical, financial and social well-being. Plus, we offer:

  • Opportunities to develop new skills and progress your career

  • A collaborative environment where everyone works together to create a better working world

  • Excellent training and development prospects, both through established programs and on-the-job training

About EY

As a global leader in assurance, tax, transaction and advisory services, we hire and develop the most passionate people in their field to help build a better working world. This starts with a culture that believes in giving you the training, opportunities and creative freedom to make things better. So that whenever you join, however long you stay, the exceptional EY experience lasts a lifetime.

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.

EY, an equal employment opportunity employer (Females/Minorities/Protected Veterans/Disabled), values the diversity of our workforce and the knowledge of our people.