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Career FamilyRisk Management ServicesRole TypeSupervising Associate/Assistant ManagerCompetencyIndependence Risk Management Enablement Group – Personal Independence Compliance Testing (PICT)Role Rank64
Supervising Associate - Independence - Risk Management Services
This role requires the candidate to execute and manage globally defined processes built in accordance with the EY Global (EYG) Independence policies aimed towards safeguarding EY as an Independent auditor. These services are provided to support EY professionals in complying with the firm’s personal independence policies by validating their financial and family relations like securities, loans, insurances, deposit accounts etc and report any potential conflict of interest with audit clients. The candidate will lead a team of 15-20 members, providing operational guidance while fostering strong relationships and collaborating effectively with stakeholders and professionals across all EY geographies.The opportunityRisk 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 role 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 mitigating any potential conflicts of interest that could compromise an auditor's independence.RMS Independence team is currently 950+ people strong, operating from 3 countries and 5 centers’: 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.The role offers the opportunity to work in a dynamic, growth-focused environment, with a special emphasis on protecting EY’s reputation as an independent auditor, by providing support on niche profiles to EY professionals member firm practices. It also involves close collaboration with global teams and stakeholders to strengthen the compliance framework and foster a mindset of continuous improvement and client enablement.Your key responsibilitiesAn Assistant Manager in RMS Independence PICT team will lead 5-10 high performing individuals, fostering a collaborative and inclusive environment. Your role involves working closely with EY professionals as well as Global and Regional stakeholders to strengthen the personal independence compliance framework, spearheading continuous improvement at process level. By effectively managing your team, engaging with stakeholders, and optimizing the processes, you will contribute significantly to EY's success. Other responsibilities include conducting quality reviews, analyzing issues, and producing well-documented deliverables, as the work product for these individuals is subject to review and scrutiny by external regulators.
Technical expertise
- Develop & maintain subject matter expertise in personal independence processes and policies, thereby enabling EY professionals to uphold their Independence compliance requirements.
- Stay updated on relevant regulatory policies like EYG and local country policies and industry best practices related to auditor independence.
- Consistently drive team to deliver high-quality project outcomes by thoroughly understanding EY Global & Independence policies and adhering to best practices and standard operating procedures
- Identify & implement process improvements to enhance efficiency & the overall effectiveness of the Personal Independence process.
- Be abreast of emerging trends and regulatory changes and effectively communicate these developments to Independence team members.
- Conduct thorough secondary research using a wide range of internal and external databases to support personal independence monitoring processes.
- Effectively facilitate and implement process & policy updates, ensuring comprehensive knowledge sharing sessions are conducted.
- Establish credibility by consistently providing deep insights and technical expertise, actively engaging in strategic discussions with stakeholders.
- Continuously develop and refine technical knowledge in Independence processes to become a recognized subject matter expert within the team.
- Lead process trainings for team members to ensure consistent understanding and application of EY Global & Personal Independence policies.
- Understand and strive to meet or exceed individual KPIs and team KPIs for the role.
- Effectively address & resolve service delivery issues / escalations using tools like RCA (Root cause analysis) and CAPA (Corrective and preventive actions)
- Conduct second level audits for reviewers in the team to ensure strong quality assurance model is maintained.
Client/Stakeholder Management
- Maintain regular and proactive communication with stakeholders to keep them informed about project progress, potential issues and any changes in timelines or scope.
- Actively engage with global and regional Independence stakeholders to implement any process changes, enhancements and improvement to ensure their expectations are met
- Develop effective conflict resolution and escalation management strategies to address and resolve any issues or escalations promptly and professionally.
- Establish and monitor key performance indicators (KPIs) related to client management to ensure high standards of service delivery.
- Act as a point of contact between EY Professionals, Global/Regional stakeholders, members of other Independence competencies, and relevant GDS functions to effectively coordinate efforts for a project/request.
Operations Management:
- Oversee volume inflows, strategize resource allocation and ensure adherence to work-flow protocol and tools.
- Engage in reporting activities to support internal and external stakeholder’s requirements.
- Establish and monitor the team's key performance indicators (KPIs).
- Contribute to strategic projects/initiatives to drive success & growth within Global EY landscape.
People Management
- Responsible for managing/leading a team of 15-20 professionals, ensuring the highest quality of work through effective project management and adherence to delivery standards.
- Maintain open and transparent communication with team members to ensure clarity of expectations and foster a collaborative environment that encourages engagement and participation in decision-making processes.
- Foster a culture of engagement by recognizing and rewarding team members' contributions, and encourage their professional development through coaching, mentoring, and recommending training to address skill gaps.
- Promote a healthy work-life balance by encouraging flexible working arrangements and supporting initiatives aimed at team members' well-being.
- Evaluate and manage team performance by setting clear goals, assessing against KPIs, and providing constructive feedback to enhance productivity and professional growth.
Skills And Attributes For Success
- Act as first point of contact for guidance to the team and as well for the stakeholders.
- Lead and drive transformation initiatives on process improvements and client enablement to enhance efficiency and effectiveness for the team.
- Demonstrate strong problem solving and critical thinking abilities to navigate through complex situations.
- Must possess a client- centric and enablement mindset which involves continuously seeking ways to improve service delivery.
- Uphold and drive the highest standards of ethics, integrity, and values.
- Must be adaptable and agile in dynamic situations, 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.
- At least 7-9 years of professional experience, out of which minimum 4-5 years’ experience should have:
- Compliance or research functions in Big 4 or other professional service organizations
- Managing reasonably mid-size teams (5-10 team members)
- Experience in Risk Management/ Independence would be preferred
- Candidates with exposure of handing client interactions would be preferred
- Well-developed analytical, interpersonal, and communication (both verbal and written) skills in English
- Working knowledge of type of financial instruments, deposit accounts, loans, insurance etc
- Experience in performing external research and exposure to performing data analysis and interpretation of output.
Technologies and Tools
- Experience in MS Office (Outlook, MS Word, MS Excel, SharePoint etc)
- Project management and Business analytics tool like Power-BI and experience in lean methodologies like Value stream mapping would be preferred.
- Stay abreast of emerging technologies, including generative AI, to maintain a competitive edge in tech-driven solutions.
What You Can Look For
- A Team of people with business acumen, technical experience and enthusiasm to learn new things in face -moving ecosystem.
- A team which has its foundation in the core values of trust, respect and teaming. The team which focuses on supporting its colleagues to excel in their respective domains and provides avenues to help acquire and demonstrate new skills.
- A team of professionals driven by growth and client enablement mindset, while safeguarding EY’s brand name.
- A team that thrives on continuous improvement and bringing in efficiencies to processes.
- Opportunities to work with Global Executive risk management teams on strengthening and monitoring compliance framework
Work Location
- India (Gurugram, Kochi and Bengaluru)
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.
About EY
EY | Shape the future with confidence
EY exists to Shape the future with confidence, 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.
If you can demonstrate that you meet the criteria above, please contact us as soon as possible.
The exceptional EY experience. It’s yours to build.
EY | Building a better working world
EY is building a better working world by creating new value for clients, people, society and the planet, while building trust in capital markets.Enabled by data, AI and advanced technology, EY teams help clients shape the future with confidence and develop answers for the most pressing issues of today and tomorrow.EY teams work across a full spectrum of services in assurance, consulting, tax, strategy and transactions. Fueled by sector insights, a globally connected, multi-disciplinary network and diverse ecosystem partners, EY teams can provide services in more than 150 countries and territories.
