- You will work virtually alongside the Channel Islands Compliance, Independence & Ethics team to support the delivery of compliance, independence and ethics activities and projects. Each PwC Member Firm implements systems, policies, and procedures necessary to comply with the detailed requirements of Independence, Ethics and Compliance Standards. This role will provide key insight into how the Channel Islands Firm manages risk in the face of increasing Network and regulatory requirements in these areas.
Qualifications / Certifications required:
- University degree or professional qualification in Accounting, Finance, Law, Business, or a related field. CA(SA) or internal audit certification preferred.
- Experience in a compliance, risk management, audit, or regulatory review role, ideally with exposure to personal and corporate independence reviews.
- Proven ability to manage multiple cases and priorities in a fast-paced, detail-oriented environment.
- Tech-savvy mindset with a willingness to explore and master internal systems to support business operations
- Experience in cross-team collaborative efforts and task delegation.
- Experience coaching, mentoring, or training junior team members.
- Familiarity with case allocation, workflow management, and quality assurance processes.
Responsibilities of role:
- Review investments and financial interests logged by PwC CI partners and staff in the Checkpoint system, ensuring compliance with independence policies.
- Provide clear, accurate guidance to CI stakeholders regarding permitted and prohibited interests.
- Allocate cases to Associates and manage workflow to ensure timely and efficient reviews.
- Liaise with the UK Independence team and other stakeholders to resolve queries and escalate complex cases.
Policy Compliance, reviews, and investigations
- Supporting with annual reviews of and updates to policies and procedures.
- Receive and review internal applications (e.g. external appointments for partners and staff; requests for firm sponsorship and speaking events).
- Receive and review consultations and draft responses in line with policy.
- Investigate breaches and support with root cause analysis (self-reported/ detected during compliance monitoring).
- Review pre-joining independence forms and independence/conflicts disclosures for new joiners.
- Conducting compliance monitoring tests and preparing reports on the results (e.g. Personal Independence Compliance Testing (PICT)).
- Maintain and update compliance registers (systems access, breaches, dispensations).
- Manage and action assigned compliance tasks within various Compliance, Independence, and Ethics systems (e.g. Polaris, CTS, Checkpoint).
- Assist with the preparation of quarterly reporting to internal governance committees and senior risk and compliance leadership.
- Assist with the preparation of any reporting to regulators and preparation for regulatory inspections.
- Oversee checkpoint-related activities for new joiners and promotions.
- Maintain and update process notes for independence, and ethics team tasks.
- Maintain communications logs, including internal communications, regulatory communications, and communications from the PwC Network - assigning and tracking actions allocated to team members.
Coordinate review schedules for Directors/Partners.
- Assist with implementing global independence and ethics applications for the Channel Islands firm, as well as User Acceptance Testing for system changes.
- Support the delivery of training to new joiners in the Channel Islands.
- Support the preparation of training materials for new joiners and annual partner and staff training sessions.
Allocate Compliance Confirmations to new joiners.
- Communicate independence matters to the firm using approved channels.
- Support the roll-out and review of Annual Compliance Confirmations for all Partners and staff within the firm.
- Support with the organisation of monthly team meetings, set agendas, take notes, and track actions.
- Manage schedule of reviews by leadership within the team.
- Contribute to process enhancements to drive operational efficiency and excellence.
- Work collaboratively with all remote teams and colleagues in other territories and locations.
- Coach and mentor Associates, supporting their route-to-competency training and ongoing development.
- Conduct first-level reviews of documentation and work performed by any Associates, ensuring accuracy and consistency before escalation.
- Maintain up-to-date records and documentation of reviews, decisions, and training activities.
Desirable skill sets include:
- Knowledge, understanding of and experience in auditor independence rules, insider dealing requirements and/or conflicts management.
- Delivering training to the firm and development of training materials.
- Experience in using AI tools such as Co-Pilot, Chat GPT in a work environment to drive efficiencies in operations.
- Strong written and verbal communication for documenting decisions and training team members.
- Leadership and mentoring skills, with a collaborative approach to team development.
- Proactive problem-solving and willingness to seek clarification and share knowledge.
- Discretion and integrity in handling sensitive personal and financial data.
- Prior use of compliance systems and virtual collaboration across geographies is beneficial.
- Trustworthiness and professionalism in managing confidential information and team responsibilities.
- Strong attention to detail and commitment to accuracy in both your own work and the work of others.
- Analytical thinking and sound judgment in decision-making and quality assurance.
- Ability to work independently and manage multiple reviews and team priorities simultaneously.
- Effective communication and relationship-building skills with remote colleagues and stakeholders.
- Adaptable and open to process improvements, regulatory change and policy updates.
- Commitment to upholding PwC's values, independence standards, and fostering a culture of learning and excellence.