Associate - Personal Independence Compliance Testing

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Career Family   -    Risk Management Services

Role Type  Associate - Analyst/ Analyst

Associate - Independence - Risk Management Services

This role requires the candidate to provide testing support to regions and execute global Independence processes in alignment with EY Global (EYG) policies. These processes are designed to safeguard EY's independence by performing testing procedures on EY professionals to ensure adherence to the firm's personal independence policies. The candidate will be responsible for monitoring professionals’ financial relationships to identify and report potential conflicts of interest with audit clients. Furthermore, the role involves interpreting GDS policies, performing compliance checks and audits, determining required actions, and providing recommendations based on firm guidance.

The opportunity

Risk Management Services (RMS) is an internal function within EY GDS (Global Delivery services), responsible for protecting the organization from the risks that may arise from its professional practice. We work closely with all parts of the organization to identify and manage risks, providing coordinated advice and assistance on suite of services like Independence, Conflicts, Compliance, regulatory, policy and security issues as well as dealing with claims and queries regarding ethics. Formed in 2007, the RMS team is growing rapidly as a Center of Excellence for all standardized quality/compliance related activities.

This opportunity will be part of the largest sub-service function, i.e., Independence within Risk Management Services (RMS) responsible for assisting EY professionals to maintain auditor objectivity by identifying and reporting any potential conflicts of interest that could compromise an auditor's independence. This includes assessing employee financial and personal relationships, conducting investigations, providing guidance on resolving personal independence matters, and testing for findings or issues related to the financial holdings of EY professionals.

RMS Independence team is currently 950+ people strong, operating from 3 locations and 5 centers’: India (Gurugram, Kochi, Bengaluru), Poland (Wroclaw), Philippines (Manila). The team is closely integrated with Global Independence and has been involved in development and operating of key Independence processes.

This role offers the opportunity to contribute to EY's reputation as an independent auditor by supporting niche Independence profiles within a dynamic and growing environment. You'll work closely with EY professionals to identify and assess their personal independence-related risks. This will involve collaborating with senior team members and stakeholders to resolve queries and gather information, ultimately positioning you as a subject matter expert in Independence processes.

Your key responsibilities

An Associate within the GDS RMS Independence PICT team, will be responsible for developing a working knowledge of Personal Independence concepts, including financial interests, family relations, and business relationships. You will execute procedures as outlined in the EYG Independence policies, conduct research, and make updates to various EY tools and databases used to monitor family and financial relationships (like securities, loans, insurance policies, etc.). Through these activities, you will contribute to helping EY Professionals identify independence-related risks, while analyzing their financial holdings and relationships to determine if they and EY are independent under the relevant rules.

Technical expertise

• Possess a solid understanding of financial products, such as equities, structured products, and mutual funds, while executing work requests and projects from initiation to completion according to established procedures.
• Conduct research and analysis on EY professionals' financial interests and family relationships, including brokerage accounts, loans, and insurance policies, to assess the permissibility of their investments.
• Participate in wide range of projects and collaborate with project managers for timely completion of assigned work.
• Deliver comprehensive testing support to regions and carrying out global Independence compliance processes in accordance with EY Global policies & local regional requirements.
• Take part in team discussions/activities, service functions/organization wide initiatives.
• Research and gather required information from various external and internal sources.
• Understand and strive to meet and exceed the defined individual KPIs for the role.
• Build working knowledge of different internal Independence tools under team’s purview
• Develop technical expertise of personal independence processes to assume subject matter expert responsibilities.

Skills and attributes for success

• Possess strong communication and inter-personal skills.
• Foster a diverse and inclusive team environment by actively participating in team events and engagements.
• Must possess a client- centric and enablement mindset.
• Demonstrate professionalism, industry competence, and clear communication when engaging with onshore teams.
• Prioritize tasks and manage time efficiently to meet business expectations while maintaining quality and adhering to deadlines.
• Consistently uphold the highest standards of ethics, integrity, and core values.
• Ability to handle sensitive information confidentially and work effectively around confidential information.
• Demonstrate adaptability and agility in dynamic situations, effectively facilitating change management.

To qualify for the role, you must have

• Masters/post-graduate degree (preferably in Finance) from a reputed institute.
• 6 months – 3 years of experience in research and analysis in a professional services firm
• Well-developed analytical, interpersonal, and communication (both verbal and written) skills in English
• Basic understanding of financial products like equities, mutual funds, pension plans, insurance policies etc.

Technologies and Tools

Experience in MS office suites like Outlook, MS excel, Word, SharePoint etc.

What you can look for

• A team of people with technical experience, business acumen and enthusiasm to learn new things in this fast-moving environment.
• A team of professionals driven by growth and client enablement mindset, while safeguarding EY’s brand name.
• A team that runs on foundational values of trust, respect, integrity and teaming.
• A team that functions with One-Team mindset and values diversity and inclusiveness.
• Opportunities to work with Global teams and stakeholders
• A team that thrives on continuous improvement and bringing in efficiencies to processes.

What we offer

EY Global Delivery Services (GDS) is a dynamic and truly global delivery network. We work across six locations – Argentina, China, India, the Philippines, Poland and the UK – and with teams from all EY service lines, geographies and sectors, playing a vital role in the delivery of the EY growth strategy. From accountants to coders to advisory consultants, we offer a wide variety of fulfilling career opportunities that span all business disciplines. In GDS, you will collaborate with EY teams on exciting projects and work with well-known brands from across the globe. We’ll introduce you to an ever-expanding ecosystem of people, learning, skills and insights that will stay with you throughout your career.

• Continuous learning: You’ll develop the mindset and skills to navigate whatever comes next.
• Success as defined by you: We’ll provide the tools and flexibility, so you can make a meaningful impact, your way.
• Transformative leadership: We’ll give you the insights, coaching and confidence to be the leader the world needs.
• Diverse and inclusive culture: You’ll be embraced for who you are and empowered to use your voice to help others find theirs.

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