Advisory, Financial Services Risk Management - Securities Sector Focus, Manager / Senior Associate
Ernst & Young Global Limited
Hong Kong, Hong Kong, CN

We are the only professional services organization who has aseparate service line dedicated exclusively to the financial servicesmarketplace.

Join Financial Services (FSO) and you will work withmulti-disciplinary teams from around the world to provide a global perspective.

Aligned to key industry groups including asset management, banking and capitalmarkets, insurance and private equity, we provide highly integrated advisory,assurance, tax, and transaction services.

The opportunity

Join Financial Services Risk Management practice and you willprovide a well-integrated broad array of risk management services to capitalmarket participants within global banking, capital markets, asset managementand 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 yourcareer through a broad scope of engagements, mentoring and formal learning.

That’s how we develop outstanding leaders who team to deliver on our promisesto all of our stakeholders, and in so doing, play a critical role in building abetter 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 RegulatoryCompliance team within FSRM with experience in Securities sector.

    Yourkey responsibilities

    Lead EY projects withrespect to :

  • Substantive matters ofcurrent and emerging SFC and global regulatory expectations regarding key securities company compliance issues such asIPO sponsor, securities margin financing, client onboarding, suitability, salespractices, client money, KYC, robo advisory and corporate governance insecurities firm (etc)
  • Structure and functionof securities firm compliance roles and responsibilities and business models
  • Advice and guidance onstructuring approaches to emerging regulatory compliance or regulatory examfindings
  • Regulatory issueremediation
  • Regulatory changemanagement including planning and communication with regulators
  • Support mock exam’ reviews, policydevelopment and drafting Assistance with relationship management betweenregulators and financial institutions
  • Compliance Framework understanding of core compliance functions : risk assessment, policy management, testing, monitoring and surveillance andreporting etc
  • Support the revision or formulation of new policies and controlsaligned with regulatory and compliance guidelines and requirements
  • Requirements :

    Toqualify for the role you must have

  • University degree majoring inaccounting, information systems, business or legal related subjects
  • Around 6-8 years of solidexperience in securities firms or regulators or reputableinternational accounting / consulting firms within-
  • depth knowledge of regulatory compliance and risk management in securitiesindustry. Candidates with lesser experience will be considered at SeniorAssociate Level

  • Robust practical experience in securitiesfirms in the areas of internal controls, regulatory compliance, risk governanceand operational knowledge
  • Good influencing skills andstakeholder 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 whiledeveloping it into cohesive, meaningful, professional reports and presentations
  • Familiar with the regulatoryenvironment of Hong Kong with experience in liaising with the SFC
  • Good knowledge in securitieslaws, rules and regulations and operations as well as different products andservices offered by securities firms
  • Good command of both writtenand spoken English and Chinese. Proficient in Mandarin is preferred
  • Ability to interact withexecutive levels of client and EY management
  • Ability to travel
  • Whatworking at EY offers

  • Support, coaching and feedback from some of the most engagingcolleagues around
  • Opportunities to develop new skills and progress your career
  • The freedom and flexibility to handle your role in a way that’sright for you
  • About EY

    As a global leader in assurance, tax, transaction and advisoryservices, we’re using the finance products, expertise and systems we’vedeveloped to build a better working world.

    That starts with a culture thatbelieves in giving you the training, opportunities and creative freedom to makethings better.

    Whenever you join, however long you stay, the exceptional EYexperience lasts a lifetime. And with a commitment to hiring and developing themost passionate people, we’ll make our ambition to be the best employer by 2020a reality.

    If you can confidently demonstrate that you meet the criteriaabove, please contact us as soon as possible.

    Join us in building a better working world.

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