Title: Compliance Manager, Transaction Advisory Services
Company:Ernst & Young
Location: ON-Toronto
Ernst & Young’s people in more than 140 countries are committed to operating with integrity, quality and professionalism in the provision of audit, tax and transaction advisory services. We strive to help all of our people achieve their professional and personal goals through an inclusive environment that values everyones contributions, appreciates diversity of thought, fosters growth, and provides continuous opportunities for development. Recognized as one of Canada’s top employers, Ernst & Young continually strives to be a great place to work.
The Compliance Manager will form an important part of the team at Ernst & Young which is responsible for implementing, updating and monitoring compliance with:
(1) United States securities requirements (regarding the firm’s FINRA/SEC licensed broker dealer) by Canadian and Global Lead Advisory practitioners,
(2) Canadian securities requirements (regarding the firm’s Canadian registered exempt market dealer),
(3) Canadian real estate requirements (regarding the firm’s Canadian registered real estate brokerage),
(4) United States municipal advisor requirements (regarding the firm’s SEC/MSRB registered municipal advisor), and
(5) The firms quality and risk management policies and process across Canada.
The Compliance Manager should have strong analytical skills in order to identify and assess risks and be creative in developing solutions and processes to mitigate such risks. Some drafting will also be required in order to tailor policies for Canadian and Global use. This person will work with many areas of the organization at a national, Americas and Global level. The Compliance Manager must be able to effectively manage expectations, have strong communication skills, be highly organized and have effective reporting skills. The Compliance Manager should also be capable of initiating, planning, executing, monitoring and controlling and closing of projects. This individual will also serve as a role model by promoting and demonstrating commitment to quality and risk management processes and policies within the firm.
Responsibilities:
Implement, update and monitor compliance with regulatory requirements/quality and risk management policies and processes (e.g. liaise with and monitor Global Lead Advisory practitioners in the implementation of and compliance with R15a-6 and other US securities requirements; liaise with and monitor compliance by Canadian Lead Advisory practitioners with broker dealer, exempt market dealer and real estate brokerage compliance manuals, etc.).
Work with Global, Area and Canadian Quality and Risk Management and practitioners to implement global policies, processes and enablement tools.
Deliver various Q&RM presentations to new hires and professional personnel.
Respond to policy interpretation and other risk management queries; anticipate and communicate ramifications of decisions and issues.
Qualifications:
* CA designation, LLB, MBA or similar professional background. Candidates should possess FINRA series 79 and 24 or be prepared to complete these requirements soon after commencing the role.
* 3-4 years experience in a professional services firm, preferably 2 years as a manager with 2 years of project management experience
* Knowledge of project management principles and methodologies
* Strong organizational and time management skills
* Dedication to team work
* Strong communication skills (both oral and written)
* Willingness to educate and train others
* Ability to manage multiple projects, strong analytical and reasoning skills
* High attention to detail, influencing skills, ability to lead and motivate
* Overtime is sometimes required to meet urgent deadlines – minimal travel.
Ernst & Young is committed to diversity and equity.
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