The opportunity

We are the only professional services organization who has a separate service line dedicated exclusively to the financial services marketplace. Join our Financial Services Organization and you will work with multi-disciplinary teams from around the world to provide a global perspective. Aligned to key industry groups including banking and capital markets, asset management and insurance, we provide highly integrated consulting, strategy and transactions, assurance and tax services. 

 

EY’s wide breadth of services of NFR including, but not limited to:   

Non-financial risk manager (regulatory compliance, enterprise risk and controls, financial crime compliance etc.)  Undertaking risk management advice, remediation and transformation  Conducting risk management framework design and operational effectiveness  Regulatory and compliance consulting (including but not limited  to financial crime compliance, such as know your customers, customer due diligences, screening and transaction monitoring activities related consulting services)  Enterprise risk and controls consulting  Professional risk support for consulting, internal and external audit services  Future operating models, including the use of technology to streamline compliance controls  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  Conducting important proactive assessments and assurance around the effectiveness of controls and corporate processes, while also providing objective consulting support  Undertaking risk management advice, remediation and transformation  

 

Your key responsibilities

Lead EY projects with respect to:

Providing strategic sourcing services related to regulatory compliance including financial crime compliance, corporate governance, enterprise risk management, internal controls and internal audit, to our clients in the financial services industry  Assisting clients to maintain effective and efficient controls, to manage firm and strategic risks  Providing advisory services to functional management and the Audit Committee on business risk profile and status or trends of related business internal controls  Conducting internal audits and special reviews on complex or high risk sites, in multiple disciplines across the business  Substantive matters of current and emerging HKMA, SFC, and global regulatory expectations regarding key banking compliance issues such as client onboarding, investor protection, licensing including cross-border compliance, suitability, sales practices, new product processes, product development and diligence, client money, KYC, customer due diligence, financial crime risk assessments, transaction monitoring, suspicious transaction reporting etc.  Structure and function of banking, insurance and capital markets compliance roles and responsibilities and business models  Use of technology and data including fintech and regtech innovation with respect to non-financial risk and compliance  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  Supporting 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.  Supporting the revision or formulation of new policies and controls aligned with regulatory and compliance guidelines and requirements 

 

Qualifications, Education and Certification 

To qualify, candidates must have: 

University degree in a relevant field such as business studies, financial, law, economics, commerce, etc  A minimum of 5 years of relevant working experience with financial institutions or with regulatory bodies, such as the Securities & Futures Commission (SFC) and Hong Kong Monetary Authority (HKMA), etc or relevant foreign bodies with other accounting  or consulting firms  Familiarity with financial services industry regulatory requirements   Familiarity with the financial services businesses and operational workflows  Familiarity with consulting methodologies and requirements is an advantage  Working experience in internal audit, compliance or risk department is highly preferred  Strong planning and organizational skills  Strong presentation skills  Proficiency in the use of PowerPoint, Word and Excel  Excellent command of spoken and written English, fluency in Chinese written and spoken is an advantage   Relevant professional qualifications, including Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Anti-Money Laundering Specialist (CAMS), Chartered Financial Analyst (CFA), are an advantage 

 

What working at EY offers

Support, coaching and feedback from some of the most engaging colleagues around A variety of roles and client experiences - you will have the opportunity to work on multiple client projects solving complex problems across financial services 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

 

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.