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

• 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

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

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

• Strong organizational skills and attention to detail