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Career Family Risk Management Services

Role Type Supervising Analyst/ Lead Analyst

Competency Independence Risk Management Enablement Group – Global Monitoring System (GMS) Process

Role Rank 65

Senior Associate - Independence - Risk Management Services

This role requires the candidate to conduct research and execute global Independence processes aligned with EY Global (EYG) policies. These processes aim to safeguard EY's independence by assisting professionals in complying with the firm's personal Independence policies. The candidate will monitor professionals financial relationships to identify and report potential conflicts of interest with audit clients. Additionally, this role involves providing coordinated support to EY professionals by answering their inquiries and questions on various country and personal Independence-related topics.

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 role 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 mitigating 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 monitoring for new independence threats.

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

The role offers opportunities to work in a dynamic, growth-focused environment, with a special emphasis on protecting EY's reputation as an independent auditor, by providing support on niche profiles to EY member firm practices. It also involves close collaboration with global/regional teams and stakeholders to strengthen the compliance framework and foster a mindset of continuous improvement and client enablement.

Your Key Responsibilities

A Senior Associate/ Lead Analyst in GMS team will be responsible to develop a strong working knowledge of Personal Independence concepts, including financial interests, family relations, and business relationships. The individual will be performing procedures as laid down in the EYG Independence policies along with hands on experience in research and making updates to various EY tools and databases, thereby helping EY Professionals in mitigating independence-related risk. In this role, candidate will be required to communicate with EY professionals, senior team members from Global/Regional Independence teams to resolve queries and gather information, thus would be expected to become a subject matter expert in Independence processes.

Other responsibilities include conducting quality reviews, analyzing issues, and producing well-documented deliverables, as the work product for these individuals is subject to review and scrutiny by external regulators.

Technical expertise

Demonstrate comprehensive understanding of financial products and markets, such as equities, structured products, and funds, while executing work requests & projects from initiation to completion in line with established procedures.
Perform and review the analysis and research to determine the permissibility of investments made by professionals.
Address inquiries and provide clear and accurate guidance to EY professionals regarding the permissibility of relationships, potential conflicts of interest, and personal independence requirements.
Build working knowledge of different internal Independence tools used to record EY professionals financial and family relation data such as details of securities owned and controlled, broker and deposit accounts, business relationships, loans, insurance policies etc
Build strong credibility by sharing insights and technical acumen, while engaging in relevant discussions with internal and external stakeholders.
Develop technical expertise of personal independence processes to assume subject matter expert responsibilities.
Lead knowledge calibration sessions addressing process related questions from team members.
Consistently assess current processes and suggest innovative solutions or ideas to enhance efficiency and drive improvements.
Understand and work towards meeting and exceeding the defined individual and team KPIs for the role.

Client/Stakeholder Management

Staying connected with EY professionals, Global/Regional stakeholders during project/request lifecycle.
Organizing and leading calls and sharing regular status updates, addressing queries, performing follow ups and gathering accurate information for timely system updates.
Act as a point of contact with distinct stakeholders (both internal and external), members of other Independence competencies, and relevant GDS functions to effectively coordinate efforts for a project/request.

Teaming and Collaboration

Perform detailed reviews and provide feedback to Associate analysts/Analysts on projects/requests reviewed to drive highest delivery standards.
Monitor and manage team performance by evaluating individuals against defined KPI's and offering constructive feedback.
Mentor team members by offering on-the-job coaching and knowledge sharing to foster career advancement and help identify learning opportunities to fill any skill gaps.

Skills and attributes for success

Manage day-to-day administrative issues and communicating appropriately to the client serving/audit teams/ team manager at GDS.
Must possess a client- centric and enablement mindset.
Possess strong communication and inter-personal skills.
Prioritize tasks and manage time effectively to meet client expectations without compromising on quality or deadlines.
Foster a diverse and inclusive team environment where all members feel valued and included.
Uphold the highest standards of ethics, integrity, and values.
Must be adaptable and agile in dynamic situations, facilitating change management.
Innovative mindset with proficiency in using current technologies and willingness to adapt to new digital tools to enhance efficiency.

To qualify for the role, you must have

Masters/post-graduate degree (preferably in Finance) from a reputed institute.
3 - 5 years of experience in research and analysis in a professional services firm.
Candidates with exposure of handing client interaction would be preferred.
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, PowerPoint 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 on strengthening the compliance framework.
A team that thrives on continuous improvement and bringing in efficiencies to processes.

Work Location

Philippines (Taguig City)

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.

About EY

EY | Shape the future with confidence

EY exists to Shape the future with confidence, helping to create long-term value for clients, people and society and build trust in the capital markets.

Enabled by data and technology, diverse EY teams in over 150 countries provide trust through assurance and help clients grow, transform and operate.

Working across assurance, consulting, law, strategy, tax and transactions, EY teams ask better questions to find new answers for the complex issues facing our world today.

If you can demonstrate that you meet the criteria above, please contact us as soon as possible.

The Exceptional EY Experience. It's Yours To Build.

EY | Building a better working world

EY exists to build a better working world, helping to create long-term value for clients, people and society and build trust in the capital markets.

Enabled by data and technology, diverse EY teams in over 150 countries provide trust through assurance and help clients grow, transform and operate.

Working across assurance, consulting, law, strategy, tax and transactions, EY teams ask better questions to find new answers for the complex issues facing our world today.

Independence GMS Senior Associate Analyst