Supervising Analyst - Personal Independence Compliance Testing

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Senior Associate - Independence - Risk Management Services

This role requires the candidate to execute globally defined processes built in accordance with the EY Global (EYG) Independence policies aimed towards safeguarding EY as an Independent auditor. These processes are designed to safeguard EY's independence by performing testing procedures on EY professionals to ensure adherence to the firm's personal independence policies. The candidate will be responsible for monitoring professionals’ financial relationships to identify and report potential conflicts of interest with audit clients. Furthermore, the role involves interpreting GDS policies, performing compliance checks and audits, determining required actions, and providing recommendations based on firm guidance.

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 opportunity 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 reporting 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 testing for findings or issues related to the financial holdings of EY professionals.

RMS Independence team is currently 950+ people strong, operating from 3 locations 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.

This role offers the opportunity to contribute to EY's reputation as an independent auditor by supporting niche Independence profiles within a dynamic and growing environment. You'll work closely with EY professionals to identify and report their personal independence-related conflicts of interest/risks. This will involve collaborating with other team members and regional stakeholders to resolve queries and gather information, ultimately positioning you as a subject matter expert in Independence processes.

Your Key Responsibilities

A Senior Associate in the GDS RMS Independence PICT 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 identifying independence-related risk. In this role, this individual will be responsible to deliver comprehensive testing support to regions and carrying out global Independence compliance processes in accordance with EY Global policies & local regional requirements.

In other responsibilities, the individual 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.

Technical expertise

• Possess a solid understanding of financial products, such as equities, structured products, and mutual funds, while executing work requests and projects from initiation to completion according to 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.
• Deliver comprehensive testing support to regions and carrying out global Independence compliance processes in accordance with EY Global policies & local regional 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 / Review And Project Management Responsibilities

• Perform detailed reviews and provide feedback to Associates 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.
• Consistently uphold the highest standards of ethics, integrity, and values.
• Demonstrate adaptability and agility in dynamic situations, effectively 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 - 7 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.
  
  

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.
  
  

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