Description
& SummaryAt 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 independence, ethics and business conduct at PwC facilitates adherence to ethical standards and promote a culture of integrity within the organisation. Working in this area, you will be responsible for developing and implementing policies and procedures to facilitate compliance with legal and regulatory requirements.
Role:Senior Associate – Compliance,Independenceand Ethics
Location:Jersey
Line of Service:Business Enablement –Ethics and CompliancePillar
Grade:Senior Associate
Contracted Hours per Week:37.5hours
PwC Channel Islands Overview
At PwC CI, we help you build, accelerate, and sustain momentum in a world that never stops moving. With our tech-forward and people-empowered network, we provide expert assurance,taxand advisory services to turn challenges into opportunities. Leveraging deepexpertiseand advanced capabilities, we ensureyou’reready for any future, helping you act boldly and achievereal results.
Job Summary:
The Pillarcomprises:
1. Compliance (AML and Sanctions)
2. Independence
3. Ethics & Business Conduct (E&BC).
As a Compliance, Independence & Ethics Senior Associate, you will work alongside Compliance, Independence & Ethics leadership team to support the delivery of compliance, independence and ethics activities and projects. Each PwC Member Firm implements systems, policies, and procedures necessary tocomply withthe detailed requirements of Independence, Ethics and Compliance Standards.
Auditor independence is fundamental tomaintainingtrust and credibility at PwC. It ensures that our professional judgement is free from any influence that could compromise objectivity. Employees and partners of the firm have a personal responsibility to manage theirfinancial interestsand arrangements in strict compliance with independence policies.
Ethics is a core part of PwC’s culture and brand.Maintaininga strong ethical culture is key to how we approach our relationships with clients, stakeholders, and each other to deliver our PwC Purpose: to build trust in society and solve important problems. Our firm is committed to the highest standards of ethical behaviour and compliance. Business conduct encompasses the principles and policies that guide how weoperateand interact with clients, regulators, and each other.
PwC also implement systems, policies, and procedures to mitigate the risk of being, directly or indirectly, involved in money laundering, terrorist financing, and proliferation financing activity and to prevent being involved with clients or activities that may violate applicable sanctions laws and regulations.
This role willprovidekey insight into how the Firm manages risk in the face of increasing Network and regulatory requirements in these areas. You will alsohave the opportunity towork collaboratively with other Business Enablement teams, allowing you to broaden your experience and make a wider impact across the organisation.
Our team culture emphasises mutual support and continuous professional development, ensuring you have many opportunities to receive coaching.
Responsibilities:
You willbe responsible forperforming various processes andoperatingvarious controls in the team alongside other colleagues. Tasks will be assigned based on business needs; however, we willseekto provide you with a primary area of responsibility. Your work will be reviewed and approved by a manager, a senior manager and in some cases, a director or partner.
Policy Compliance, reviews, and investigations
4. Supporting with annual reviews of and updates to policies and procedures.
5. Receive and review internal applications (e.g. external appointments for partners and staff; requests for firm sponsorship and speaking events).
6. Receive and review consultations and draft responses in line with policy.
7. Investigate breaches and support with root cause analysis (self-reported/ detected during compliance monitoring).
8. Review pre-joining independence forms and independence/conflicts disclosures for new joiners.
Monitoring & Reporting
9. Conducting compliancemonitoringtests and preparing reports on the results (e.g. Personal Independence Compliance Testing (PICT)).
10. Maintainand update compliance registers (systems access, breaches, dispensations).
11. Manage and action assigned compliance tasks within various Compliance, Independence, and Ethics systems (e.g. ServiceNow; Checkpoint; Adverse News, PEP, and Sanctions Escalations).
12. Assistwith the preparation of quarterly reporting to the Risk and Quality Committee, Partner Responsible for Independence, and Ethics, as well as Quality Leaders.
13. Assistwith the preparation of mandatory reporting to regulators and preparation for regulatory inspections.
14. Oversee checkpoint-related activities for new joiners and promotions.
Process & Documentation
15. Maintainand update process notes for compliance, independence, and ethics team tasks.
16. Maintaincommunications logs, including internal communications, regulatory communications, and communications from the PwC Network - assigning and tracking actionsallocatedto team members.
17. Coordinate review schedules for Directors/Partners.
18. Assistwith implementing global independence and compliance applications for the Channel Islands firm, as well as User Acceptance Testing for system changes.
Training & Communication
19. Support the delivery of training to new joiners.
20. Prepare training materials for new joiners and annual partner and staff training sessions.
21. Allocate Compliance Confirmations to new joiners.
22. Communicate independence matters to the firm using approved channels.
23. Support the roll-out and review of Annual Compliance Confirmations for all partners and staff within the firm.
Team Support
24. Organise monthly team meetings, set agendas, take notes, and track actions.
25. Manage schedule of reviews by leadership within the team.
26. Contribute to process enhancements to drive operational efficiency and excellence.
27. Work collaboratively with remote teams and colleagues in other territories and locations.
Direct Reports:
This role reports to:
28. Compliance,Independenceand Ethics Manager and/or Senior Manager
There are no direct reports into this role.
Qualifications & Certifications:
29. A relevant professional qualification (e.g. ACCA, ICAEW, etc.) would be beneficial.
30. Further study support is also available if candidates wish to pursue study in an area relevant to role.
Skills & Experience Required:
Essential skills:
31. Strong organisational skills – ability to plan and work to deadlines.
32. Tech-savvy mindset with a willingness to explore and master internal systems to support business operations.
33. Enthusiastic, energetic, and driven by challenge.
34. Excellent communication skills – with the ability to collaborate with cross-functional teams and stakeholders at all levels.
35. Proactive, self-motivated, and able to take responsibility for own work
36. Attention to detail.
37. Team player, respected by the leadership team, the managers, and the staff
38. Audit, compliance or risk managementexpertise.
Desirable skills:
39. Knowledge, understanding of and experience in auditor independence rules, insider dealing requirements and/or conflicts management.
40. Knowledge, understanding of and experience in financial crime compliance or client due diligence.
41. Coaching junior team members.
42. Delivering training and development of training materials.
43. Experience in using AI tools such as Co-Pilot, Chat GPT in a work environment to drive efficiencies in operations.
Travel Requirements:
It isanticipatedthat this role will require travel between the islands of Jersey and Guernsey once a quarter.
The skills we look for in our people:
All our people need todemonstratethe skills and behaviours that support us in delivering our business strategy. This is important to the work we do for our business, and our clients. These skills and behaviours make up our global leadership framework, Evolved PwC Professional.
The Evolved PwC Professional focuses on two core behaviours: Trusted Leadership and Distinctive outcomes. Trusted Leadership is underpinned by core behaviours that Inspire, Empower and Evolve, and Distinctive outcomes is underpinned by behaviours that Champion, Build and Deliver.
Diversity:
We work in a changing world which offers great opportunities for people with diverse backgrounds and experiences. Weseekto attract and employ the best people from the widest talent pool as well as those who reflect the diverse nature of our society. We aim to encourage a culture where people can be themselves and be valued for their unique strengths. Creating value through diversity is what makes us strong as a business..
Education
Degrees/Field of Study required:Degrees/Field of Study preferred:
Certifications
Required Skills
Optional Skills
Accepting Feedback, Accepting Feedback, Accounting Practices, Active Listening, Analytical Thinking, Budget Monitoring, Business Ethics, Business Expansion, Code of Ethics, Communication, Compliance and Standards, Compliance Awareness, Compliance Oversight, Compliance Program Implementation, Compliance Review, Compliance Risk Assessment, Compliance Training, Corporate Compliance Programs, Creativity, Developing Policies and Guidelines, Embracing Change, Emotional Regulation, Empathy, Ethical Standards, Ethics Training {+ 19 more}
Desired Languages
Travel Requirements
Up to 20%
Available for Work Visa Sponsorship?
No
Government Clearance Required?
No
Job Posting End Date