Independence Compliance Audit Senior Associate

At EY, you'll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture and technology to become the best version of you. And we're counting on your unique voice and perspective to help EY become even better. Join us and build an exceptional experience for yourself, and a better working world for all. The exceptional EY experience. It's yours to build. EY focuses on high-ethical standards and integrity among its employees and expects all candidates to demonstrate these qualities. Risk Management supports our people in managing the risks that arise during our daily working lives. We work closely with all parts of the organization to identify, manage and monitor risk, providing coordinated advice and assistance on independence, conflicts, compliance, regulatory, policy, security issues, as well as dealing with claims and any queries regarding ethics. The opportunity We are operating in an increasingly connected world which is changing how to manage risk. With fast-paced technology advancements, new innovations in emerging technologies, and an ever-challenging regulatory environment, it is business critical for our organization to identify not only the risks but the opportunities these present to us. As Independence Compliance Associate, you'll be responsible for auditing the personal financial independence of EY personnel thereby helping to mitigate this area of risk for the firm. Position Summary As Independence Compliance Audit Senior Associate, you'll use your subject matter knowledge to act as the initial or secondary point of contact for client engagement teams. You'll provide research and analysis across one or more Q&RM functions or processes. To achieve this, you'll interpret policies and processes, determine required actions, and make recommendations based on firm guidance and your own experience. In addition, you'll analyze issues, and document the diligence with which tasks are performed, to help meet the demands of external regulators. Key Responsibilities: Conduct research to resolve conflicts, and obtain materials, in order to review business relationships, public company independence, personal financial independence or other processes Work with management & RM analysts to review submissions from client teams. Evaluate the completeness, accuracy and appropriateness of proposed transaction/requests Identify key issues and risks in the Q&RM function or process, by comparing facts and circumstances to current EY policies Handle information and analysis requests from Q&RM consultants and client engagement teams and understand complex, non-routine questions from client teams, and coordinate appropriate responses through consultation Recommend improvements, and/or develop new approaches or deliverables, by utilizing your knowledge of existing Q&RM processes, and your business experience Liaise between the client teams, other members of the Q&RM team, and various functional areas within the firm (e.g., Center for Business Knowledge, Finance, and Strategic Sourcing) Review and analyze reports, to identify variances or trends that should be brought to the attention of management Apply judgment to consultations and/or submission reviews Develop an enhanced understanding of the key independence rules and policies of EY and the regulator Gain knowledge of one or more Q&RM functional areas within the firm Develop a solid understanding of relevant firm business Respond to escalated issues, or sensitive transactions. Analyze these reports to determine whether an EY/Securities & Exchange Commission (SEC)/American Institute for Certified Public Accountants (AICPA) violation has occurred or is likely to occur Regularly exercise independent decision-making skills within the framework of the Q&RM/Independence policies and processes. Guide client teams on issues of moderate complexity To qualify, candidates must have: Basic knowledge of project management tools and methodologies Strong problem solving skills Flexibility to adapt to different working situations Adept at keeping sensitive information confidential Strong research and communications skills Good working knowledge of computers and common software packages, including analytical tools A minimum of 3-5 years related experience Bachelor's degree or equivalent work experience What we look for We're interested in people that will take responsibility for complex Risk Management/Independence projects or significant aspects of highly complex projects What we offer We offer a comprehensive compensation and benefits package where you'll be rewarded based on your performance and recognized for the value you bring to the business. The base salary range for this job in all geographic locations in the US is $64,200 to $116,400. The salary range for New York City Metro Area, Washington State and California (excluding Sacramento) is $77,000 to $132,300. Individual salaries within those ranges are determined through a wide variety of factors including but not limited to education, experience, knowledge, skills and geography. In addition, our Total Rewards package includes medical and dental coverage, pension and 401(k) plans, and a wide range of paid time off options. Join us in our team-led and leader-enabled hybrid model. Our expectation is for most people in external, client serving roles to work together in person 40-60% of the time over the course of an engagement, project or year. Under our flexible vacation policy, you'll decide how much vacation time you need based on your own personal circumstances. You'll also be granted time off for designated EY Paid Holidays, Winter/Summer breaks, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being. 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. EY accepts applications for this position on an on-going basis. If you can demonstrate that you meet the criteria above, please contact us as soon as possible. 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. For those living in California, please click here for additional information. EY is an equal opportunity, affirmative action employer providing equal employment opportunities to applicants and employees without regard to race, color, religion, age, sex, sexual orientation, gender identity/expression, pregnancy, genetic information, national origin, protected veteran status, disability status, or any other legally protected basis, including arrest and conviction records, in accordance with applicable law. EY is committed to providing reasonable accommodation to qualified individuals with disabilities including veterans with disabilities. If you have a disability and either need assistance applying online or need to request an accommodation during any part of the application process, please call 1-800-EY-HELP3, select Option 2 for candidate related inquiries, then select Option 1 for candidate queries and finally select Option 2 for candidates with an inquiry which will route you to EY's Talent Shared Services Team (TSS) or email the TSS at

Created: 2024-11-05