Private Equity Compliance & Regulatory Management Manager

Market Operations - UKI

The opportunity
EY works with the world’s largest Private Equity funds supporting them to acquire, transform and sell assets. A number of our largest UK & EMEIA headquartered funds are required to adhere to SEC Independence restrictions. This in turn requires EY to proactively monitor and manage all work that we engage on with those funds (including as asset level) to ensure that we comply with all SEC, EU PIE & UK PIE/OEPI and EY independence requirements.

This position has significant scope to improve and optimize processes.

Your key responsibilities

• Oversight of requested EY’s GIS updates and maintenance– answering questions from Global Delivery Services (India based shared service centre)) / account teams / independence leaders and ensuring requests get processed in a timely manner
• Initial review of Quarterly Independence Summary Memo (ISM) and backing docs. Working with Independence Senior Associate and GDS to ensure all engagement partners globally respond to quarterly request for independence confirmations in a timely manner / act as point of escalation
• PACE support – Supporting engagement teams with PACE questionnaire responses
• Monitor press and industry announcements for acquisitions and disposals across focus accounts
• Ensure set up of an appropriate structure for each account to ensure that teams are supported appropriately in meeting the relevant regulatory requirements
• Maintain documentation and promote independence procedures applied to Private equity
• Liaise with PE Independence & Compliance Senior Manager on complex regulatory matters and co-ordinate a resolution.
• Ensure that adequate indicators are placed for any investee with US listed instruments and that appropriate channels are reflected
• Work closely with US counterparts to share best practice and develop process efficiencies
• Sense checks e.g., revenues (PEAR) v SOWs/PACEs, GFIS checks, testing ELs to ensure SEC compliant.
• Follow up on controlled entities with overseas EY member firms - ensuring they are fully aware of requirements and equipped to identify potential issues

Skills and attributes for success

Desired

• Qualified Accountants or Auditors with a strong working knowledge of the concept of Independence
• Individuals with private equity or investment banking risk management/compliance experience (but not essential)
• Ability to manage multiple priorities concurrently
• Ability to work with and influence stakeholders at all levels

To qualify for the role, you must have

• Demonstrated understanding and application of the principles and practices of compliance and independence
• English language skills - excellent written and verbal communications

Ideally, you’ll also have

• Ability to manage multiple priorities concurrently
• Ability to work with and influence stakeholders at all levels

What we look for

• Strong organizational skills and attention to detail

What we offer
We offer a competitive remuneration package where you’ll be rewarded for your individual and team performance. Our comprehensive Total Rewards package includes support for flexible working and career development, and with MyReward you can select benefits that suit your needs, covering holidays, health and well-being, insurance, savings and a wide range of discounts, offers and promotions. Plus, we offer:

• 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.

Please note
Prior to finalizing your application, you will be asked to provide personal information across several dimensions of diversity and inclusiveness. The information you provide is kept entirely confidential and will not be used to evaluate your candidacy. We collect this data to help us analyse our recruitment process holistically and implement actions that promote diversity and inclusiveness. While optional, we encourage you to provide this information to hold us accountable towards our goal of building a better working world. Read more about our commitment to diversity & inclusiveness here. We ask because it matters!

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.

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