Compliance Associate, Assurance (Financial Services/Funds Management)

Last updated 33 minutes ago

At EY, you’ll 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 we’re 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.

The opportunity

The Compliance team is currently looking for an Associate to join the Audit team in Sydney. The person engaged will be primarily responsible for conducting 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 in accordance with relevant standards and EY methodology
  • Understanding high level legislative/regulatory requirements and compliance risks
  • Identifying improvement opportunities in respect of controls, processes and procedures
  • Interpret the law/regulatory requirements (as applicable to a particular client) and its impact on the client
  • Conduct needs and gap analyses for the client

Skills and attributes for success

To qualify for the role you must have:

  • A business or accounting degree
  • 1-2 years 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 look at the big picture from a compliance risk perspective for individual clients
  • Chartered Accountant qualification desirable

Ideally, you’ll also have:

  • Strong verbal and written communication skills
  • Have an eye for detail
  • Process analysis and project management skills