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Regulatory Compliance Assistant Director

Company: EY
Location: Cincinnati
Posted on: September 25, 2022

Job Description:

At EY, youll 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 were counting on your unique voice and perspective to help EY become even better, too. Join us and build an exceptional experience for yourself, and a better working world for all.Risk Management Regulatory Compliance, Assistant DirectorJoin our Core Business Services (CBS) team and you will help support the important business enablement functions that keep our organization running strong. As a CBS professional, you will work across teams to provide the knowledge, resources, and tools that help EY deliver exceptional quality service to our clients, win in the marketplace and support EYs growth and profitability. Major teams within CBS include Finance, Information Technology, Human Resources, Enterprise Support Services, Brand Marketing and Communications, Business Development, Knowledge and Risk Management.The Risk Management function helps protect EY from risks that arise from its professional practice. Risk Management teams provide coordinated advice and assistance on independence, conflicts, regulatory and risk management issues, as well as dealing with claims, and any queries regarding the organizations ethics.Job Summary:As an Americas Risk Management, Regulatory Compliance, Assistant Director, youll be tasked with managing the regulatory compliance program related the state and foreign registrations for the US firm, as well as regulatory reporting.The Regulatory Compliance Program and related regulatory reporting will include:

  • Management, oversight, and coordination of efforts to maintain registrations within each state and any applicable foreign jurisdiction
  • Management, oversight, and coordination of efforts in numerous compliance-related matters including preparation of the annual PCAOB Form 2 submission
  • Management and consultation with internal stakeholders to identify reportable events that may trigger a PCAOB Form 3 Special Report submission as well as timely and accurate filing of the submission
  • Determination and coordination of state reporting process and notification requirements, including oversight of reporting / notification preparation and submission through extensive collaboration with professionals in the Assurance practice, Professional Practice, GCO, Finance, CPA Licensing, RM Leadership and the USEC
  • Management of overall compliance program for alignment with EY Compliance Framework to help mitigate regulatory and legal risks through integrated analysis of risks, risk drivers, processes, controls, training, and more
  • Identification and implementation of efficiencies across the compliance program, and teaming/coordinating with monitoring and data initiativesIn this role, you'll lead a team and advise professionals across a range of leadership levels, service lines, industry sectors and geographic areas. This will involve dealing with complex, non-standard issues. You'll also be expected to recommend modifications and enhancements and help the process(es) continue to support firm priorities and needs. You'll work with executive-level personnel, train, and mentor team members, and manage effective day-to-day operations of the team.You'll work independently, with periodic feedback.Key Responsibilities:
    • Partner with Assurance, Professional Practice, Finance, Partnership Operations, CPA Licensing, General Counsels Office and other internal stakeholders on the management of the Regulatory Compliance Program
    • Manage process to maintain individual firm registration permits, foreign registration(s) as a third country auditor, and identify and file any new registrations required to operate as a CPA firm
    • Understand the key requirements of firm policies and regulators rules and apply knowledge when managing the day-to-day operations
    • Recommend ways to improve process(es), and/or develop new approaches, calling on your Risk Management and business experience
    • Consult regularly with Risk Management and other EY leaders and executives on process issues, concerns, and changes. Identify and implement leading practices on processes
    • Stay current with emerging risks, trends and lessons learned.
    • Maintain, execute and test related controls for both internal policy requirements and ISQM
    • Develop relationships and build a network of people within your team and across the firm
    • Coordinate Risk Management process initiatives and manage process teams
    • Use independent judgment and discretion to identify issues, analyze risks across industry and service lines, and interpret relevant EY policies and guidelines
    • Gain a solid understanding of relevant parts of the EY business
    • Liaise with Global PPD and non-US member firms as it relates to PCAOB filings
    • Review of requests by non-US member firms to perform services in the US in coordination with PPD and GCO
    • Manage and lead team members and coordinate virtual teams who complete process initiatives, including assigning work and reviewing performance
    • Help subordinates and colleagues to meet their deadlines, and encourage input from and learning between all team members
    • Train and mentor junior Risk Management staff to familiarize them with firm processes and policies and to enable them to handle more complex issuesSkills and attributes for success:
      • High degree of personal ownership and accountability, with the ability to prioritize workload and deliver credible outputs within strict deadlines, with minimal supervision
      • Proficient technical abilities and the use of analytical and project management methodology to execute projects
      • Understand the need for change initiatives and act as a positive advocate for necessary changes as it relates to the process
      • Analytical approach to evaluate existing processes to offer innovative ideas for improvement and allow for operational efficiency and effectiveness
      • Help colleagues learn new tasks and build a cohesive team through strong management and leadership skills to align various stakeholders and team members across the compliance universe
      • Highly effective communication and presentation skillsTo qualify, candidates must have:
        • Strong problem-solving skills
        • Astute attention to detail
        • Outstanding verbal and written communication skills
        • Proficient technology skills (Microsoft Office, SharePoint)
        • Proven ability to be an effective leader and manage direct reports and processes
        • Ability to deliver frank messages to executive leaders within the firm
        • Ability to successfully handle multiple tasks with flawless execution
        • Ability to be flexible and the confidence to take the initiative
        • Highest level of ethics and integrity
        • A minimum of 5+ years of related experienceWhat we look forWe are looking for a driven leader, with strong problem-solving skills and attention to detail. You should be passionate about quality, compliance, and risk mitigation.What we offerWe offer a competitive compensation package where youll be rewarded based on your performance and recognized for the value you bring to our business. 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. Under our flexible vacation policy, youll decide how much vacation time you need based on your own personal circumstances. Youll 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: Youll develop the mindset and skills to navigate whatever comes next.
          • Success as defined by you: Well provide the tools and flexibility, so you can make a meaningful impact, your way.
          • Transformative leadership: Well give you the insights, coaching and confidence to be the leader the world needs.
          • Diverse and inclusive culture: Youll be embraced for who you are and empowered to use your voice to help others find theirs.If you can demonstrate that you meet the criteria above, please contact us as soon as possible.The exceptional EY experience. Its yours to build.EY - Building a better working worldEY 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.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, 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 individuals with disabilities. If you are a qualified individual with a disability and either need assistance applying online or need to request an accommodation during the interview process, please call 1-800-EY-HELP3, type Option 2 (HR-related inquiries) and then type Option 1 (HR Shared Services Center), which will route you to EYs Talent Shared Services Team or email SSC Customer Support at ssc.customersupport@ey.com .

Keywords: EY, Cincinnati , Regulatory Compliance Assistant Director, Accounting, Auditing , Cincinnati, Ohio

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