Compliance Senior Associate
Compliance Senior Associate
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Job Description
Line of Service
Internal Firm ServicesIndustry/Sector
Not ApplicableSpecialism
IFS Human Capital (HC)Management Level
Senior AssociateJob Description & Summary
A career in our Ethics and Business Conduct Practice Support practice within Risk and Compliance services will provide you the opportunity to work with a team that provides clients with extensive risk and controls technical knowledge and sector specific experience. Youll have the opportunity to develop a holistic approach to risk that protects businesses facilitates strategic decision making and enhances efficiency by assisting management in the assessment of project risks and controls.Our team helps PwC develop and design effective compliance and ethics initiatives that help us proactively manage our ethics and compliance programmes. Youll assist through all stages of the compliance and ethics life cycle including compliance programme assessments development and transformation risk assessment and industry regulatory compliance.
Roles & Responsibilities(essential functions and responsibilities of the job):
Implement compliance testing framework and methodology / checklists for compliance testing.
Contribute to improvement of the framework including aspects being reviewed and newer areas
to be included in the future
Lead and perform compliance testing and other projects assigned to the Compliance team.
Supervise teams / managers and provides guidance.
Evaluate and examine applicable guidelines / policies / SOPs for areas being reviewed to refine
testing attributes identify unmitigated risks and suggest improvements
Review testing sheets and backup documents to ensure they are in accordance with re
performance standards and are updated in the central database.
Track and followup on progress of implementation of recommendations with key stakeholders
Finalize exceptions and discuss them with concerned teams to agree on facts and way forward
Provide suggestions w.r.t. improvements in guidelines / risk processes to mitigate exceptions /
improve existing processes and align it with stakeholders
Independently prepare management presentation / deck summarizing work done in each testing
cycle for discussion with leadership.
Develops relationships with key stakeholders and works independently in representing
Compliance lead in various forums / discussions.
Identify and actively contribute to leading key initiatives for the function (such as leverage of
analytics undertaking review of new areas implementing tool for the function etc.
Support the Compliance lead in quality reporting to the Senior leadership team in addition to
other functional roles such as project management recruitment trainings etc.
Develop a learning culture by coaching counselling and training team members by providing
objective support and supervision sharing ideas/information/knowledge through strong
leadership skills.
Contribute significantly towards building strong and effective awareness and consciousness
towards compliance requirements within the organization.
Education and Experience:
Essential: CA / MBA / CIA / CS from a reputed institute with prior experience in Controls &
Compliance or Internal Audit 46 years)
Essential Skills:
Ability to handle work pressure / deadlines and deliver consistent results
Highly motivated and selfstarter
Excellent communication (written and oral) and interpersonal skills
Proven ability to build manage and foster a teamoriented environment
Strong analytical skills and proven ability to work creatively and analytically in a problemsolving
environment
Willingness to work independently without much upward / downward support
Excellent leadership and management skills
Curious willingness to learn and contribute to functional / organizational goals
Mandatory Skill Set:Compliance Internal Audit SOX Compliance Compliance testing
Preferred Skill Set:Compliance Internal Audit SOX Compliance Compliance testing
Year of experience required:5 years
Qualifications:CA / MBA / CIA / CS from a reputed institute with prior experience in Controls & Compliance or Internal Audit
Education (if blank degree and/or field of study not specified)
Degrees/Field of Study required:Degrees/Field of Study preferred:Certifications (if blank certifications not specified)
Required Skills
Compliance Testing Internal Auditing SOX Compliance AuditOptional Skills
Desired Languages (If blank desired languages not specified)
Travel Requirements
Available for Work Visa Sponsorship
Government Clearance Required
Job Posting End Date
Required Experience:
Senior IC
Employment Type
Full-Time
