Global Compliance

Contractor – Global Compliance
The incumbent shall be responsible for the timely and end to end execution of various compliance testing processes including conducting research and analysis to identify any potential non-compliance with policy/guidance or any potential regulatory breaches. The person shall also be required to assist in leadership reporting, maintenance and testing of Compliance Framework as well as the quarterly testing performed by regional Risk Management teams. This person will be expected to assist with the development of new compliance programs as well as other projects which are formulated or transitioned under Global Compliance.

The opportunity
We’re looking for Supervising Analyst with experience in compliance processes including testing. This is a great opportunity to be part of a leading firm whilst being instrumental in contributing to strengthening of compliance framework of the firm.

Your key responsibilities

• Develop understanding of the EY Global compliance framework and the Execution process
• Manage maintenance and testing of Compliance Framework which includes but is not limited:Assist in update and launch activities of the framework
  Collaborate with Global Executive RM stakeholders to complete the update activities
  Collaborate with the Area, Region and Country risk management network
  Maintain and adhere to the process schedule
  Highlight any potential delays or roadblocks
  
• Develop subject matter expertise on Anti-Money Laundering (AML) compliance testing process
• End to end management of the compliance testing process including but not limited to:Perform testing on the AML Client Due Diligence (CDD) and Enhanced Due Diligence (EDD) procedures completed
  Requires strong understanding of KYC process, AML laws and regulations, identification of red flags, screening on the tools and databases like World check, Factiva, Finscan etc.
  Collaborate with the country/regional risk management teams during the testing exercise
  Analyze the responses from country/regional risk management teams on testing results to identify potential non-compliance in a timely manner
  Identify any nuances, supporting the review of documentation of local AML regulatory requirements
  Maintain and adhere to the testing schedule
  Work with the team for enhancements of the process
  Support the process documentation and ensuring process trackers are current and accurate

Qualifications

• Provide support on operational matters which would include but not be limited to:Ensure process documentation is current and accurate
  Support team management activities like (eg. Managing shifts, tracking work completion,
  coordinating with team members on open items etc.)
  Assist in change management
  Keep senior management informed about roadblocks and progress
  Drive efficiency improvement projects to completion
  Assist in driving team building activities
  
  
  • Support transition of additional processes
  • Co-ordinate with the team and assist in creating process management templates, trackers with the excel and VBA techniques to make the data management, reporting, monitoring steps seamless

Skills and attributes for success

• Capable of identifying issues and analyze scenarios against policy requirements
• Succinct and structured oral and written communications skills with proven ability to explain in a crisp, clear and concise manner
• Experience with applications or programs like MS Excel, VBA, PowerBI, MS Forms, Visio, SharePoint lists
• Prior experience in financial crime compliance topics, such as, Anti-money laundering, Anti-Bribery and Corruption, Insider Trading etc.

To qualify for the role, you must have

• Bachelors or Master’s degree from a reputed college
• At least 4-5 years of experience in:Research/Compliance processes
  Data analysis and dashboard reporting
  Strong logical and reasoning skills
  Process management
  

Ideally, you’ll also have
• Credible experience working in a fast-moving, client-driven environment

What you can look for

• A Team of people with commercial acumen, technical experience and enthusiasm to learn new things in this fast-moving environment
• A team which has its foundation in the core values of trust, respect and teaming. The team which focuses on supporting its colleagues to excel in their respective domains and provides avenues to help acquire and demonstrate new skills.
• Opportunities to work with Global Executive risk management teams on strengthening compliance framework