Advisory, Financial Services Risk Management - Commercial / Retail / Virtual Sector Focus, Senior Manager / 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 team and you will providea highly integrated broad array of risk management services to capital marketparticipants within global banking, capital markets, asset management andinsurance.

FSRM products and services include Anti-Money Laundering, RegulatoryCompliance, Prudential Supervision, Bank Holding Company reporting, CreditRisk / 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
  • Professional risk support for 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 ourRegulatory Compliance team within FSRM with experience in Commercial and RetailBanking.

    Yourkey responsibilities

    Lead EYprojects with respect to :

  • Substantive matters of current and emerging HKMA, SFC and globalregulatory expectations regarding key commercial and / or retail and / or virtualbanking compliance issues such as client onboarding, investor protection,licensing, suitability, sales practices on financial and insurance products,client money and KYC (etc)
  • Structure and function commercial and / or retail banking or virtualbanking compliance roles and responsibilities and business models
  • Use of technology and data including FinTech and regtechinnovation with respect to commercial and / or retail banking banking or virtualbanking
  • Advice and guidance on structuring approaches to emergingregulatory compliance or regulatory exam findings
  • Regulatory issue remediation
  • Regulatory change management including planning and communicationwith regulators
  • Support mock exam’ reviews, policy development and draftingAssistance with relationship management between regulators and financialinstitutions
  • 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 in accounting, information systems,business or legal related subjects
  • Around 6-8 years of solid experience in commercial / retail / virtualbanks or regulators or reputable international accounting / consulting firms within-
  • depth knowledge of regulatory compliance and risk management incommercial / retail / virtual banking industry. Candidates with lesser experiencewill be considered at Senior Associate Level

  • Robust practical experience in commercial / retail / virtual banks inthe areas of internal controls, regulatory compliance, risk governance andoperational knowledge
  • Good knowledge in supervision and selling conduct of financialproducts or insurance products
  • Good influencing skills and stakeholder relationship managementskills; Advanced conflict management / resolution skills with Projectcoordination experience
  • Strong report-writing skills, with ability to create and organizevarying forms of business information while developing it into cohesive,meaningful, professional reports and presentations
  • Familiar with the regulatory environment of Hong Kong withexperience in liaising with HKMA and SFC
  • Good knowledge in banking and securities laws, rules andregulations and operations as well as different products and services offeredby commercial / retail / virtual banks
  • Good command of both written and spoken English and Chinese.Proficient in Mandarin is preferred
  • Ability to interact with executive levels of client and EYmanagement
  • 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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