Manager-Global Compliance Manager

Manager - Risk Management Services

This is a role that requires incumbent to own & execute a variety of global processes related to compliance monitoring of engagements across Service Lines on Legal & Regulatory requirements & EY Policy requirements. The candidate should be comfortable working in an unstructured & complex environment requiring out of the box thinking, logical reasoning, sound verbal & written communication skills, ability to make prompt yet well informed decisions.

The opportunity

Global Compliance Engagement Testing (GCET) supports the Global Risk Management in conducting compliance testing across Service Lines. GCET program is an internal EY review process which includes selecting engagements of the PPEDs to test them on Legal & Regulatory compliances & internal EY policy compliances and providing feedback & ratings to the PPEDs basis the outcome of their review. The team also provides analytical reports consisting of outcome of compliance testing to Global, Area and Region stakeholders.

This is a great opportunity to be part of a leading firm whilst being instrumental in contributing to strengthening of compliance framework of the firm.

Accordingly, we are looking for a Manager who shall be responsible for timely execution of compliance testing processes including conducting research and analysis to identify any potential non-compliance with policy/guidance or any potential regulatory breaches. The person shall also be required to assist in other process related requirements.

Your key responsibilities

Technical expertise

• Conduct research using both systematic and intuitive secondary research techniques
• Study the research findings, draw inferences and conclusions in response to the research requirement
• Use analytical and project management methodology and tools
• Complete all assigned projects/tasks in line with the standard operating procedures and stipulated timelines
• Facilitate and drive the processes to completion
• Perform periodic review of teams deliverables to evaluate completeness, accuracy, and appropriateness
• Flag issues/potential challenges at appropriate time so that timely action can be initiated
• Develop subject matter expertise in RMS wide process & policies
• Identify & execute opportunities of process improvement & efficiency gains
• Continuously add value to assigned processes and develop solutions for situations that may not have been previously documented
• Take ownership of a variety of operational activities for seamless functioning of the process
• Provide feedback to the team members and help them move up the learning curve

Client Management

• Lead and drive business development & scope expansion conversations with the Global, Area and Regional Risk Management and Service Line Quality leadership
• Actively manage the leadership’s expectations through setting up a robust client management framework
• Responsible for addressing & resolving service delivery issues / escalations
• Understand and meet leadership’s requirements independently

People Management

• Manage performance of the team members from setting goals to assessing performance against goals to providing performance feedback
• Pledge for quality of output through internal review mechanisms
• Help counsellors in completing periodic performance reviews of their counselees
• Manage and address potential conflicts amongst the team members
• Work cohesively with the team to address their issues/concerns and maintain a positive working environment
• Ensure adherence to work-flow protocol and tools
• Coordinate training schedules for new and existing members of the team
• Coach and mentor team members for professional development and recommends training requirements to address perceived gaps
• Identify training, learning & development opportunities for the team members

Skills and attributes for success

• Experienced professional whose knowledge has been expanded through exposure to diverse and/or complex situations and who can work independently
• Exceptional and proven customer service skills, including responsiveness and commitment to quality. Ability to listen to, and accurately capture others’ expectations and concerns; should be clear and concise when responding to questions
• Highly developed project management skills
• Teaming attitude and excellent inter-personal and leadership skills
• Succinct and structured verbal and written communication skills with proven ability to explain in a crisp, clear and concise manner
• Innovative mindset and adaptive to changing technologies
• Proficient in MS excel, word and PowerPoint
• Should possess the skill to drive strategic initiatives at firm level

To qualify for the role, you must have

• Bachelors or master’s degree from a reputed college
• At least 10+ years of experience in Compliance due diligence procedures in global firm
• Demonstrated ability to manage and lead teams (minimum 30 team members)
• Demonstrated ability to execute against project plans and expectations
• Demonstrated ability to interact with leadership and stakeholders
• Experience with applications or programs like MS Forms, Power BI and SharePoint lists would be preferred

Technologies and Tools

• Experience in MS office suites like Microsoft 365, MS excel, PowerPoint
• Business analytics tool like Power-BI