Engagement Compliance Review
Engagement Compliance Review
Posted on :
12-07-2025
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1 Vacancy
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Job Description
Line of Service
Internal Firm ServicesIndustry/Sector
Not ApplicableSpecialism
Advisory - OtherManagement Level
Senior AssociateJob Description & Summary
At PwC our people in risk and compliance focus on maintaining regulatory compliance and managing risks for clients providing advice and solutions. They help organisations navigate complex regulatory landscapes and enhance their internal controls to mitigate risks effectively.Those in enterprise risk management at PwC will focus on identifying and mitigating potential risks that could impact an organisations operations and objectives. You will be responsible for developing business strategies to effectively manage and navigate risks in a rapidly changing business environment.
Focused on relationships you are building meaningful client connections and learning how to manage and inspire others. Navigating increasingly complex situations you are growing your personal brand deepening technical expertise and awareness of your strengths. You are expected to anticipate the needs of your teams and clients and to deliver quality. Embracing increased ambiguity you are comfortable when the path forward isnt clear you ask questions and you use these moments as opportunities to grow.
Examples of the skills knowledge and experiences you need to lead and deliver value at this level include but are not limited to:
- Respond effectively to the diverse perspectives needs and feelings of others.
- Use a broad range of tools methodologies and techniques to generate new ideas and solve problems.
- Use critical thinking to break down complex concepts.
- Understand the broader objectives of your project or role and how your work fits into the overall strategy.
- Develop a deeper understanding of the business context and how it is changing.
- Use reflection to develop self awareness enhance strengths and address development areas.
- Interpret data to inform insights and recommendations.
- Uphold and reinforce professional and technical standards (e.g. refer to specific PwC tax and audit guidance) the Firms code of conduct and independence requirements.
Job Description
Focused on relationships you are building meaningful client connections and learning how to manage and inspire others. Navigating increasingly complex situations you are growing your personal brand deepening technical expertise and awareness of your strengths. You are expected to anticipate the needs of your teams and clients and to deliver quality. Embracing increased ambiguity you are comfortable when the path forward isnt clear you ask questions and you use these moments as opportunities to grow.
Examples of the skills knowledge and experiences you need to lead and deliver value at this level include but are not limited to:
Respond effectively to the diverse perspectives needs and feelings of others.
Use a broad range of tools methodologies and techniques to generate new ideas and solve problems.
Use critical thinking to break down complex concepts.
Understand the broader objectives of your project or role and how your work fits into the overall strategy.
Develop a deeper understanding of the business context and how it is changing.
Use reflection to develop self awareness enhance strengths and address development areas.
Interpret data to inform insights and recommendations.
Uphold and reinforce professional and technical standards (e.g. refer to specific PwC tax and audit guidance) the Firms code of conduct and independence requirements.
Note: Defined globally and is not available for editing
Custom Orgs
Global LoS
Internal Firm Services
Global Network
Advisory - Other
Global Competency Network
Advisory - Other
Go To Market
Not Applicable
Sector
Not Applicable
Programme Type
Experienced Hire
Job Requirements and Preferences
Basic Qualifications
Minimum Degree Required (BQ)
Bachelor Degree
Additional Educational Requirements (BQ)
Bachelors degree in a relevant field such as business compliance or related disciplines (required).
Certifications in compliance or risk management such as Certified Compliance & Ethics Professional
(CCEP) (preferred).
Minimum Year(s) of Experience (BQ)
5 year(s) 5
Certification(s) Required (BQ)
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
(RAL))
Strong analytical skills with the capacity to absorb and process large volumes of data efficiently.
Familiarity with global compliance standards and the ability to apply them across different lines of
service.
Required Knowledge/Skills (BQ)
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
(RAL))
Strong analytical skills with the capacity to absorb and process large volumes of data efficiently.
Familiarity with global compliance standards and the ability to apply them across different lines of
service.
Preferred Qualifications
Degree Preferred
Bachelor Degree
Additional Educational Preferences
Bachelors degree in a relevant field such as business compliance or related disciplines (required).
Certifications in compliance or risk management such as Certified Compliance & Ethics Professional
(CCEP) (preferred).
Certification(s) Preferred
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
(RAL))
Strong analytical skills with the capacity to absorb and process large volumes of data efficiently.
Familiarity with global compliance standards and the ability to apply them across different lines of
service.
Preferred Knowledge/Skills
Job Summary
The ECR Acceleration Center Subject Matter Experts (SMEs) play a critical role in conducting Engagement
Compliance Reviews (ECRs) within our centralized Center of Excellence (CoE). This position supports our
commitment to regulatory standards and best practices by executing comprehensive compliance assessments.
Operating from our Acceleration Centers ECR SMEs are responsible for transitioning all testing offshore utilizing
their specialized training to ensure all ECR-related tasks are efficiently and effectively accomplished
Major Responsibilities
Conduct primary review of files (45%):
Conduct initial compliance reviews of engagement files adhering to established guidelines while
exercising professional judgment to ensure efficiency and minimize rework
Verify alignment with company policies and regulatory standards using informed judgment to
address both binary and nuanced evaluations.
Document findings and observations systematically to support effective review processes and facilitate
easy reference for follow-up actions
2. Collaborate with Onshore Teams (20%)
Engage with senior associates and directors to discuss initial findings and refine the ECRs.
Coordinate with the ECR Leader to ensure seamless communication and effective alignment of
compliance review outcomes.
Participate in review meetings and provide feedback to enhance the quality of compliance processes
3. Data Analysis (25%):
Examine large datasets to identify compliance issues employing analytical skills to draw insightful
conclusions and make informed recommendations.
Utilize data analysis tools to track compliance patterns and highlight areas needing attention or
improvement.
Use critical thinking and judgment to interpret data findings considering both quantitative and
qualitative insights to ensure regulatory adherence .
4. Training and Development (10%):
Engage in professional development opportunities to remain informed on current compliance
standards regulatory changes and best practices.
Attend training sessions to enhance skills and competencies relevant to compliance reviews and ECR
processes.
Share learnings with team members to foster a culture of continuous improvement and excellence
within the Acceleration Center.
Qualification
Bachelors degree in a relevant field such as business compliance or related disciplines (required).
Certifications in compliance or risk management such as Certified Compliance & Ethics Professional
(CCEP) (preferred).
Work Experience
Previous experience in conducting ECRs is preferred.
Understanding of Consulting services or experience with Consulting engagements.
Experience in research and analysis activities with the ability to analyze information against a set of
criteria applying judgement supported by evidence to justify conclusions as required
Experience working collaboratively with global teams and an understanding of compliance
requirements across territories is advantageous.
Technical skills & Specialized Knowledge
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
(RAL))
Strong analytical skills with the capacity to absorb and process large volumes of data efficiently.
Familiarity with global compliance standards and the ability to apply them across different lines of
service.
General Attributes
Curious/investigative mindset with a strong sense of inquiry and a desire to uncover underlying causes
Strong attention to detail
Able to organize and prioritize tasks to meet deadlines
Methodical approach but adaptable to changing circumstances
Ability to convey written messages with clarity and precision
Communication/ Interpersonal Skills
The role requires strong communication skills to engage with various internal stakeholders such as senior
associates directors and global teams. Communication will often be conducted via routine emails
collaborative working sessions and virtual meetings. Frequent interactions are essential to elucidate
compliance findings foster understanding and facilitate teamwork across different functions
Customer/ Client Service
We depend on all employees to take an attitude of excellence in customer service.
ECR SMEs must possess a strong understanding of internal client needs by accurately identifying compliance
issues and areas for refinement. The role demands a proactive approach to delivering support and
clarification while also escalating complex matters to senior team members for further exploration and
resolution.
Problem Solving/ Judgment/Decision Making
This role necessitates analytical thinking and meticulous attention to detail to navigate compliance challenges
effectively. ECR SMEs are expected to apply sound judgment in reviewing data and assessing compliance
risks while also leveraging innovative problem-solving skills to ensure compliance protocols are adhered to
consistently.
Accountability/ Impact of Decisions
Decisions made by ECR SMEs influence the compliance and risk management effectiveness within their scope
of work. The role is therefore responsible for ensuring all reviews align with established guidelines .
Leadership and Coaching
While primarily focused on reviewing and assessing compliance ECR SMEs contribute to a collaborative
working environment by sharing expertise and providing guidance to peers when required. They support the
ECR Leaders in fostering a supportive and accountable team culture.
Sensory and Physical Efforts
Describe the extent to which the work requires the incumbent to exert physical effort and/or to apply sensory concentration
and attention which results in physical or mental strain or fatigue. Please specify the frequency intensity and the duration of
effort required.
The job primarily involves mental exertion including prolonged concentration on reviewing compliance
findings reports and detailed risk assessments. The role demands careful attention to detail and analytical
thinking resulting in mental strain but requires minimal physical effort.
Working Conditions & Travel Requirements (if applicable)
There may be occasional requirements to adapt working hours during peak review periods to meet compliance deadlines
Job Description
Focused on relationships you are building meaningful client connections and learning how to manage and inspire others. Navigating increasingly complex situations you are growing your personal brand deepening technical expertise and awareness of your strengths. You are expected to anticipate the needs of your teams and clients and to deliver quality. Embracing increased ambiguity you are comfortable when the path forward isnt clear you ask questions and you use these moments as opportunities to grow.
Focused on relationships you are building meaningful client connections and learning how to manage and inspire others. Navigating increasingly complex situations you are growing your personal brand deepening technical expertise and awareness of your strengths. You are expected to anticipate the needs of your teams and clients and to deliver quality. Embracing increased ambiguity you are comfortable when the path forward isnt clear you ask questions and you use these moments as opportunities to grow.
Examples of the skills knowledge and experiences you need to lead and deliver value at this level include but are not limited to:
Respond effectively to the diverse perspectives needs and feelings of others.
Use a broad range of tools methodologies and techniques to generate new ideas and solve problems.
Use critical thinking to break down complex concepts.
Understand the broader objectives of your project or role and how your work fits into the overall strategy.
Develop a deeper understanding of the business context and how it is changing.
Use reflection to develop self awareness enhance strengths and address development areas.
Interpret data to inform insights and recommendations.
Uphold and reinforce professional and technical standards (e.g. refer to specific PwC tax and audit guidance) the Firms code of conduct and independence requirements.
Note: Defined globally and is not available for editing
Custom Orgs
Global LoS
Internal Firm Services
Global Network
Advisory - Other
Global Competency Network
Advisory - Other
Go To Market
Not Applicable
Sector
Not Applicable
Programme Type
Experienced Hire
Job Requirements and Preferences
Basic Qualifications
Minimum Degree Required (BQ)
Bachelor Degree
Additional Educational Requirements (BQ)
Bachelors degree in a relevant field such as business compliance or related disciplines (required).
Use a broad range of tools methodologies and techniques to generate new ideas and solve problems.
Use critical thinking to break down complex concepts.
Understand the broader objectives of your project or role and how your work fits into the overall strategy.
Develop a deeper understanding of the business context and how it is changing.
Use reflection to develop self awareness enhance strengths and address development areas.
Interpret data to inform insights and recommendations.
Uphold and reinforce professional and technical standards (e.g. refer to specific PwC tax and audit guidance) the Firms code of conduct and independence requirements.
Note: Defined globally and is not available for editing
Custom Orgs
Global LoS
Internal Firm Services
Global Network
Advisory - Other
Global Competency Network
Advisory - Other
Go To Market
Not Applicable
Sector
Not Applicable
Programme Type
Experienced Hire
Job Requirements and Preferences
Basic Qualifications
Minimum Degree Required (BQ)
Bachelor Degree
Additional Educational Requirements (BQ)
Bachelors degree in a relevant field such as business compliance or related disciplines (required).
Certifications in compliance or risk management such as Certified Compliance & Ethics Professional
(CCEP) (preferred).
Minimum Year(s) of Experience (BQ)
5 year(s) 5
Certification(s) Required (BQ)
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
5 year(s) 5
Certification(s) Required (BQ)
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
(RAL))
Strong analytical skills with the capacity to absorb and process large volumes of data efficiently.
Familiarity with global compliance standards and the ability to apply them across different lines of
service.
Required Knowledge/Skills (BQ)
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
(RAL))
Strong analytical skills with the capacity to absorb and process large volumes of data efficiently.
Familiarity with global compliance standards and the ability to apply them across different lines of
service.
Preferred Qualifications
Degree Preferred
Bachelor Degree
Additional Educational Preferences
Bachelors degree in a relevant field such as business compliance or related disciplines (required).
Degree Preferred
Bachelor Degree
Additional Educational Preferences
Bachelors degree in a relevant field such as business compliance or related disciplines (required).
Certifications in compliance or risk management such as Certified Compliance & Ethics Professional
(CCEP) (preferred).
Certification(s) Preferred
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
(RAL))
Strong analytical skills with the capacity to absorb and process large volumes of data efficiently.
Familiarity with global compliance standards and the ability to apply them across different lines of
service.
Preferred Knowledge/Skills
Job Summary
Job Summary
The ECR Acceleration Center Subject Matter Experts (SMEs) play a critical role in conducting Engagement
Compliance Reviews (ECRs) within our centralized Center of Excellence (CoE). This position supports our
commitment to regulatory standards and best practices by executing comprehensive compliance assessments.
Operating from our Acceleration Centers ECR SMEs are responsible for transitioning all testing offshore utilizing
their specialized training to ensure all ECR-related tasks are efficiently and effectively accomplished
Major Responsibilities
Conduct primary review of files (45%):
Conduct initial compliance reviews of engagement files adhering to established guidelines while
exercising professional judgment to ensure efficiency and minimize rework
Verify alignment with company policies and regulatory standards using informed judgment to
address both binary and nuanced evaluations.
Document findings and observations systematically to support effective review processes and facilitate
easy reference for follow-up actions
2. Collaborate with Onshore Teams (20%)
Engage with senior associates and directors to discuss initial findings and refine the ECRs.
Coordinate with the ECR Leader to ensure seamless communication and effective alignment of
compliance review outcomes.
Participate in review meetings and provide feedback to enhance the quality of compliance processes
3. Data Analysis (25%):
Examine large datasets to identify compliance issues employing analytical skills to draw insightful
conclusions and make informed recommendations.
Utilize data analysis tools to track compliance patterns and highlight areas needing attention or
improvement.
Use critical thinking and judgment to interpret data findings considering both quantitative and
qualitative insights to ensure regulatory adherence .
4. Training and Development (10%):
Engage in professional development opportunities to remain informed on current compliance
standards regulatory changes and best practices.
Attend training sessions to enhance skills and competencies relevant to compliance reviews and ECR
processes.
Share learnings with team members to foster a culture of continuous improvement and excellence
within the Acceleration Center.
Qualification
Bachelors degree in a relevant field such as business compliance or related disciplines (required).
Certifications in compliance or risk management such as Certified Compliance & Ethics Professional
(CCEP) (preferred).
Work Experience
Previous experience in conducting ECRs is preferred.
Understanding of Consulting services or experience with Consulting engagements.
Experience in research and analysis activities with the ability to analyze information against a set of
criteria applying judgement supported by evidence to justify conclusions as required
Experience working collaboratively with global teams and an understanding of compliance
requirements across territories is advantageous.
Technical skills & Specialized Knowledge
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
(RAL))
Strong analytical skills with the capacity to absorb and process large volumes of data efficiently.
Familiarity with global compliance standards and the ability to apply them across different lines of
service.
General Attributes
Curious/investigative mindset with a strong sense of inquiry and a desire to uncover underlying causes
Strong attention to detail
Able to organize and prioritize tasks to meet deadlines
Methodical approach but adaptable to changing circumstances
Ability to convey written messages with clarity and precision
Communication/ Interpersonal Skills
The role requires strong communication skills to engage with various internal stakeholders such as senior
associates directors and global teams. Communication will often be conducted via routine emails
collaborative working sessions and virtual meetings. Frequent interactions are essential to elucidate
compliance findings foster understanding and facilitate teamwork across different functions
Customer/ Client Service
We depend on all employees to take an attitude of excellence in customer service.
ECR SMEs must possess a strong understanding of internal client needs by accurately identifying compliance
issues and areas for refinement. The role demands a proactive approach to delivering support and
clarification while also escalating complex matters to senior team members for further exploration and
resolution.
Problem Solving/ Judgment/Decision Making
This role necessitates analytical thinking and meticulous attention to detail to navigate compliance challenges
effectively. ECR SMEs are expected to apply sound judgment in reviewing data and assessing compliance
risks while also leveraging innovative problem-solving skills to ensure compliance protocols are adhered to
consistently.
Accountability/ Impact of Decisions
Decisions made by ECR SMEs influence the compliance and risk management effectiveness within their scope
of work. The role is therefore responsible for ensuring all reviews align with established guidelines .
Leadership and Coaching
While primarily focused on reviewing and assessing compliance ECR SMEs contribute to a collaborative
working environment by sharing expertise and providing guidance to peers when required. They support the
ECR Leaders in fostering a supportive and accountable team culture.
Sensory and Physical Efforts
Describe the extent to which the work requires the incumbent to exert physical effort and/or to apply sensory concentration
and attention which results in physical or mental strain or fatigue. Please specify the frequency intensity and the duration of
effort required.
The job primarily involves mental exertion including prolonged concentration on reviewing compliance
findings reports and detailed risk assessments. The role demands careful attention to detail and analytical
thinking resulting in mental strain but requires minimal physical effort.
Working Conditions & Travel Requirements (if applicable)
There may be occasional requirements to adapt working hours during peak review periods to meet compliance deadlines
Job Description
Focused on relationships you are building meaningful client connections and learning how to manage and inspire others. Navigating increasingly complex situations you are growing your personal brand deepening technical expertise and awareness of your strengths. You are expected to anticipate the needs of your teams and clients and to deliver quality. Embracing increased ambiguity you are comfortable when the path forward isnt clear you ask questions and you use these moments as opportunities to grow.
Focused on relationships you are building meaningful client connections and learning how to manage and inspire others. Navigating increasingly complex situations you are growing your personal brand deepening technical expertise and awareness of your strengths. You are expected to anticipate the needs of your teams and clients and to deliver quality. Embracing increased ambiguity you are comfortable when the path forward isnt clear you ask questions and you use these moments as opportunities to grow.
Examples of the skills knowledge and experiences you need to lead and deliver value at this level include but are not limited to:
Respond effectively to the diverse perspectives needs and feelings of others.
Use a broad range of tools methodologies and techniques to generate new ideas and solve problems.
Use critical thinking to break down complex concepts.
Understand the broader objectives of your project or role and how your work fits into the overall strategy.
Develop a deeper understanding of the business context and how it is changing.
Use reflection to develop self awareness enhance strengths and address development areas.
Interpret data to inform insights and recommendations.
Uphold and reinforce professional and technical standards (e.g. refer to specific PwC tax and audit guidance) the Firms code of conduct and independence requirements.
Note: Defined globally and is not available for editing
Custom Orgs
Global LoS
Internal Firm Services
Global Network
Advisory - Other
Global Competency Network
Advisory - Other
Go To Market
Not Applicable
Sector
Not Applicable
Programme Type
Experienced Hire
Job Requirements and Preferences
Basic Qualifications
Minimum Degree Required (BQ)
Bachelor Degree
Additional Educational Requirements (BQ)
Bachelors degree in a relevant field such as business compliance or related disciplines (required).
Use a broad range of tools methodologies and techniques to generate new ideas and solve problems.
Use critical thinking to break down complex concepts.
Understand the broader objectives of your project or role and how your work fits into the overall strategy.
Develop a deeper understanding of the business context and how it is changing.
Use reflection to develop self awareness enhance strengths and address development areas.
Interpret data to inform insights and recommendations.
Uphold and reinforce professional and technical standards (e.g. refer to specific PwC tax and audit guidance) the Firms code of conduct and independence requirements.
Note: Defined globally and is not available for editing
Custom Orgs
Global LoS
Internal Firm Services
Global Network
Advisory - Other
Global Competency Network
Advisory - Other
Go To Market
Not Applicable
Sector
Not Applicable
Programme Type
Experienced Hire
Job Requirements and Preferences
Basic Qualifications
Minimum Degree Required (BQ)
Bachelor Degree
Additional Educational Requirements (BQ)
Bachelors degree in a relevant field such as business compliance or related disciplines (required).
Certifications in compliance or risk management such as Certified Compliance & Ethics Professional
(CCEP) (preferred).
Minimum Year(s) of Experience (BQ)
5 year(s) 5
Certification(s) Required (BQ)
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
5 year(s) 5
Certification(s) Required (BQ)
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
(RAL))
Strong analytical skills with the capacity to absorb and process large volumes of data efficiently.
Familiarity with global compliance standards and the ability to apply them across different lines of
service.
Required Knowledge/Skills (BQ)
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
(RAL))
Strong analytical skills with the capacity to absorb and process large volumes of data efficiently.
Familiarity with global compliance standards and the ability to apply them across different lines of
service.
Preferred Qualifications
Degree Preferred
Bachelor Degree
Additional Educational Preferences
Bachelors degree in a relevant field such as business compliance or related disciplines (required).
Degree Preferred
Bachelor Degree
Additional Educational Preferences
Bachelors degree in a relevant field such as business compliance or related disciplines (required).
Certifications in compliance or risk management such as Certified Compliance & Ethics Professional
(CCEP) (preferred).
Certification(s) Preferred
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
(RAL))
Strong analytical skills with the capacity to absorb and process large volumes of data efficiently.
Familiarity with global compliance standards and the ability to apply them across different lines of
service.
Preferred Knowledge/Skills
Job Summary
Job Summary
The ECR Acceleration Center Subject Matter Experts (SMEs) play a critical role in conducting Engagement
Compliance Reviews (ECRs) within our centralized Center of Excellence (CoE). This position supports our
commitment to regulatory standards and best practices by executing comprehensive compliance assessments.
Operating from our Acceleration Centers ECR SMEs are responsible for transitioning all testing offshore utilizing
their specialized training to ensure all ECR-related tasks are efficiently and effectively accomplished
Major Responsibilities
Conduct primary review of files (45%):
Conduct initial compliance reviews of engagement files adhering to established guidelines while
exercising professional judgment to ensure efficiency and minimize rework
Verify alignment with company policies and regulatory standards using informed judgment to
address both binary and nuanced evaluations.
Document findings and observations systematically to support effective review processes and facilitate
easy reference for follow-up actions
2. Collaborate with Onshore Teams (20%)
Engage with senior associates and directors to discuss initial findings and refine the ECRs.
Coordinate with the ECR Leader to ensure seamless communication and effective alignment of
compliance review outcomes.
Participate in review meetings and provide feedback to enhance the quality of compliance processes
3. Data Analysis (25%):
Examine large datasets to identify compliance issues employing analytical skills to draw insightful
conclusions and make informed recommendations.
Utilize data analysis tools to track compliance patterns and highlight areas needing attention or
improvement.
Use critical thinking and judgment to interpret data findings considering both quantitative and
qualitative insights to ensure regulatory adherence .
4. Training and Development (10%):
Engage in professional development opportunities to remain informed on current compliance
standards regulatory changes and best practices.
Attend training sessions to enhance skills and competencies relevant to compliance reviews and ECR
processes.
Share learnings with team members to foster a culture of continuous improvement and excellence
within the Acceleration Center.
Qualification
Bachelors degree in a relevant field such as business compliance or related disciplines (required).
Certifications in compliance or risk management such as Certified Compliance & Ethics Professional
(CCEP) (preferred).
Work Experience
Previous experience in conducting ECRs is preferred.
Understanding of Consulting services or experience with Consulting engagements.
Experience in research and analysis activities with the ability to analyze information against a set of
criteria applying judgement supported by evidence to justify conclusions as required
Experience working collaboratively with global teams and an understanding of compliance
requirements across territories is advantageous.
Technical skills & Specialized Knowledge
Strong understanding of Salesforce risk module (including reading and interpreting the Risk Audit Log
(RAL))
Strong analytical skills with the capacity to absorb and process large volumes of data efficiently.
Familiarity with global compliance standards and the ability to apply them across different lines of
service.
General Attributes
Curious/investigative mindset with a strong sense of inquiry and a desire to uncover underlying causes
Strong attention to detail
Able to organize and prioritize tasks to meet deadlines
Methodical approach but adaptable to changing circumstances
Ability to convey written messages with clarity and precision
Communication/ Interpersonal Skills
The role requires strong communication skills to engage with various internal stakeholders such as senior
associates directors and global teams. Communication will often be conducted via routine emails
collaborative working sessions and virtual meetings. Frequent interactions are essential to elucidate
compliance findings foster understanding and facilitate teamwork across different functions
Customer/ Client Service
We depend on all employees to take an attitude of excellence in customer service.
ECR SMEs must possess a strong understanding of internal client needs by accurately identifying compliance
issues and areas for refinement. The role demands a proactive approach to delivering support and
clarification while also escalating complex matters to senior team members for further exploration and
resolution.
Problem Solving/ Judgment/Decision Making
This role necessitates analytical thinking and meticulous attention to detail to navigate compliance challenges
effectively. ECR SMEs are expected to apply sound judgment in reviewing data and assessing compliance
risks while also leveraging innovative problem-solving skills to ensure compliance protocols are adhered to
consistently.
Accountability/ Impact of Decisions
Decisions made by ECR SMEs influence the compliance and risk management effectiveness within their scope
of work. The role is therefore responsible for ensuring all reviews align with established guidelines .
Leadership and Coaching
While primarily focused on reviewing and assessing compliance ECR SMEs contribute to a collaborative
working environment by sharing expertise and providing guidance to peers when required. They support the
ECR Leaders in fostering a supportive and accountable team culture.
Sensory and Physical Efforts
Describe the extent to which the work requires the incumbent to exert physical effort and/or to apply sensory concentration
and attention which results in physical or mental strain or fatigue. Please specify the frequency intensity and the duration of
effort required.
The job primarily involves mental exertion including prolonged concentration on reviewing compliance
findings reports and detailed risk assessments. The role demands careful attention to detail and analytical
thinking resulting in mental strain but requires minimal physical effort.
Working Conditions & Travel Requirements (if applicable)
There may be occasional requirements to adapt working hours during peak review periods to meet compliance deadlines
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
Optional Skills
Accepting Feedback Accepting Feedback Active Listening Analytical Thinking Business Continuity Business Process Improvement Business Process Modeling Business Risk Business Risk Identification Communication Contract Negotiation Contractual Risk Mitigation Corporate Governance Creativity Crisis Management Data Analysis and Interpretation Embracing Change Emotional Regulation Empathy Enterprise Risk Management (ERM) Governance Risk Compliance (GRC) Inclusion Intellectual Curiosity Learning Agility Mitigation Measures 22 moreDesired Languages (If blank desired languages not specified)
Travel Requirements
Not SpecifiedAvailable for Work Visa Sponsorship
NoGovernment Clearance Required
NoJob Posting End Date
Employment Type
Full-Time
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