Internal Firm Services - Ethics Compliance - Ethics Business conduct - Senior Manager

PricewaterhouseCoopers Acceleration Centre Kolkata

Ethics & Compliance Investigation

Senior Manager

About the Job

Introduction to PwC Service Delivery Center

• PricewaterhouseCoopers Service Delivery Centre (Kolkata) Private Limited is a joint venture in India among members of the PricewaterhouseCoopers Network that will leverage the scale and capabilities of its network. It is a member firm of PricewaterhouseCoopers International Limited and has its registered office in Kolkata India

• The Delivery Center will provide a professional an opportunity to work in a dynamic environment where you will have the ability to develop process and qualitybased skills

Requirements:

These should include

essential &

desirable requirements

such as:

Job Description

The AC Kolkata Ethics & Compliance Senior Manager is a local ethics and compliance role responsible for 1 conducting a broad range of ethics and compliance responsibilities supporting the PwC US Ethics & Compliance program as well as the AC Kolkata Ethics & Compliance Director 2 intake planning conducting and reporting on investigations of allegations received through the PwC US Ethics Helpline and other available channels for reporting concerns of possible misconduct and 3 providing guidance on policy and our firm values to partners and employees through communications training and direct contacts seeking advice. The policy subject matter specialty areas and investigation matters may involve among other issues antifraud anticorruption antitrust information protection privacy insider trading trade compliance harassment discrimination retaliation and other suspected violations of ethics and business conduct policies. The role requires a high degree of independent judgment fairness and objectivity.

As a Senior Manager youll work as part of a team of problem solvers helping to solve complex business issues from strategy to . PwC Professional skills and responsibilities for this management level include but are not limited to:

• Encourage everyone to have a voice and invite opinion from all including quieter members of the team.

• Deal effectively with ambiguous and unstructured problems and situations.

• Initiate open and candid coaching conversations at all levels.

• Move easily between big picture thinking and managing relevant detail.

• Anticipate stakeholder needs and develop and discuss potential solutions even before the stakeholder realises they are required.

• Contribute technical knowledge in the area of specialism.

• Contribute to an environment where people and technology thrive together to accomplish more than they could apart.

• Navigate the complexities of crossborder and/or diverse teams and engagements.

• Initiate and lead open conversations with teams clients and stakeholders to build trust.

• Uphold the firms code of ethics and business conduct.

Responsibilities include:

• Receiving and investigating reported concerns of possible misconduct; serving as a confidential and nonretaliatory resource for all partners and employees who have questions or concerns.

• Conduct timely effective and independent investigations; develop investigation plans; conduct interviews of reporters witnesses and subjects of concerns; collect all relevant evidence; make and report on investigation findings; document all investigative steps in the firms ethics case management system and an Executive Summary; and when claims are substantiated facilitate and lead the discipline committee process; and confirm all is consistent with the established robust internal investigations processes and best practice.

• Collaborate with key stakeholders across the firm including the People team Risk Management Information Security and the Office of General Counsel (OGC).

• Conduct root cause analyses identify potential areas of compliance vulnerability and risk as well as control gaps and develop / implement corrective action plans for resolution developing and improving policies and processes; and provide general guidance on how to avoid or deal with similar situations in the future.

• Support functional leaders as needed from an ethics or compliance perspective including colleagues in the People team Risk Management and OGC and transition to them matters more appropriate for their handling given their subject matter speciality.

• Draft and deliver ethics and compliance training and communications with subject matter specialists in Learning & Development and our communications functions through an established firmwide schedule and cadence as well as ad hoc when needed.

• Prepare trend analysesanalyzing ethics and compliance data and preparing reports for management.

Position/Program Requirements

Knowledge Preferred:

Demonstrates proven intimate knowledge of and/or success in investigator roles involving plan review interview forensic and audit in the case investigation preferably for operations of a USbased or multinational company emphasizing understanding of the following areas:

• Possessing audit or investigation skills preferably involving complaints of law regulation and integrity violations including harassment discrimination retaliation time expense gifts and entertainment fraud conflicts of interest and breach of privacy/confidentiality;

• Leveraging written and verbal communication skills involving 1 receiving and investigating complaints 2 having challenging sensitive and confidential conversations 3 providing policy guidance 4 policy maintenance and development 5 ethics communications and training and 6 trend analyses;

• Conducting root cause analyses including change agility especially the abilities to analyze data and report on trends and continuously improve processes to align with regulatory and business changes;

• Operating with a high degree of independence and accountability in the receipt triage and investigation of complaints while guiding coaching and collaborating with internal leaders staff clients and vendors;

• Organizing and prioritizing responsibilities in order to manage multiple projects concurrently;

• Collaborating with stakeholder functions in an internal investigations process including HR Legal Internal Audit IT Security Finance and Procurement seeking diverse views to encourage improvement and innovation.

Skills Preferred:

Demonstrates proven abilities in managing ethics compliance governance and/or risk

management programs and operations within a USbased or multinational company emphasizing analytical project management and research skills through the use of firmissued technologies (e.g. Microsoft OfficeWord Excel PowerPoint SharePoint et al;Google at Workdocs sheets slides drive et al; Lotus Notes etc.:

• Serving as a subject matter specialist in the development interpretation and maintenance of policies and practices through everyday business consultations and/or collaborations with key internal E&C

Stakeholders;

• Performing work and collaborating in multicultural multilingual diverse and inclusive environments;

• Communicating effectivelyverbally and in writingwith local leadership partners and staff peer coworkers subject matter specialists emphasizing the development of clear concise wellwritten documents and presentations;

• Leading coordinating implementing followup and documenting assigned activities thoroughly and in a timely manner;

• Developing management reporting including ad hoc reports in response to the needs of the business local leadership and PwC US E&C leadership;

• Handling conflicts with professionalism and respect while working under pressure;

• Managing ethics codeofconduct compliance and related topics policies and processes from an Ethics & Compliance or related perspective (e.g. audit legal forensic investigations HR IT finance security or procurement).

Prior experience in ethics compliance governance risk management audit and/or law is strongly preferred.

Prior international experience is desirable.

• Level of experience

• Education/qualifications

• Industry experience

• Technical capability

• Key personal attribute

• Minimum Degree Required: Graduate Degree (e.g. BA ; LL.B. ; CFE is desirable

• Minimum Years of Experience: 7yrs

• Preferred Qualifications: Preferred Fields of Study: NA

• Certification(s) Preferred: NA