Compliance Manager or Assistant Manager, Assurance (Financial Services) - Sydney Compliance Manager or Assistant Manager, Assurance  …

Ernst & Young
in Sydney, New South Wales, Australia
Permanent, Full time
Be the first to apply
Ernst & Young
in Sydney, New South Wales, Australia
Permanent, Full time
Be the first to apply
Compliance Manager or Assistant Manager, Assurance (Financial Services) - Sydney
  • Work with a team of collaborators, innovators and the brightest minds in the industry
  • Balance work and passions through our innovative flexible work options
  • Join an award-winning organisation recognised for its D&I initiatives
About EY

The opportunity

The Compliance team is currently looking for an extraordinary Manager or experienced Senior Associate to join the Audit team in Sydney. The person engaged will be primarily responsible for managing Compliance Plan and Australian Financial Services Licence (AFSL) Audits for Financial Services (FS) Clients within the Assurance service line of the Financial Services Office as well as working on a variety of Compliance Advisory engagements for both FS and non-FS Clients. This role is offered on a flexible full-time basis.

Your key responsibilities
  • Conducting audits of the Compliance Plans and AFSLs of clients in accordance with relevant standards and EY methodology
  • Understanding the legislative/regulatory requirements and key compliance risks for each type of client
  • Liaising with client contacts at senior levels
  • Instructing, monitoring and coaching staff working on several clients
  • Identifying improvement opportunities in respect of controls, processes and procedures
  • Applying a logical and systematic problem solving approach to ensure all issues are addressed
  • Drafting /finalising closing management reports following completion of the audits
  • Facilitating training on compliance audits
  • Interpreting the law and regulatory requirements (as applicable to a particular client) and its impact on the client
  • Conducting needs and gap analyses for each client
  • Conducting management interviews
  • Developing policies and procedures documents for implementation of compliance programs
Skills and attributes for success
  • An accounting or business degree
  • Compliance or business experience in the Asset Management or Financial Services Industry
  • Previous audit and/or staff supervisory experience and/or experience with organisational internal controls
  • Excellent client interaction skills
  • The ability to also look at the big picture from a compliance risk perspective for individual clients
Ideally, you'll also have
  • Strong verbal and written communication skills
  • Have an eye for detail
  • Possess strong process analysis and project management skill
Who are FSO?

EY are the only professional services organisation offering a separate team dedicated exclusively to the financial services market. Join the Financial Services Organisation (FSO) and you will work with multi-disciplinary teams from around the world to deliver a global perspective to a range of high profile companies. We provide a highly integrated team, combining the knowledge from across our service lines to provide advice and guidance to key industry groups including wealth and asset management, banking, capital markets and insurance.

Apply and see where a career with FSO Advisory can take you!

What working at EY offers

Our Total Rewards package includes:
  • formal or informal flexible working options e.g. remote working, flexible start and finish times -
  • career and learning development e.g. EY badges ( ), career mentoring
  • an extensive range of wellbeing and benefit offerings e.g. Salary packaging, parental leave and support, health checks
Who we are

EY is an inclusive and equal opportunity employer ( ) offering a vast range of internal networks including Ability EY, our disability network, Unity, our LGBTI network and our Aboriginal and Torres Strait Islander network enabling us all to embrace and value the diverse society we live within. If you have any support or access requirements, we encourage you to advise us at the time of application via or +61 1800 017 666.

Join us in building a better working world. Apply now!

The preferred applicant will be subject to employment screening by EY or by their external third-party provider.

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