Compliance Senior Associate

Internal Firm Services

Not Applicable

IFS - Human Capital (HC)

Senior Associate

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. You’ll 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. You’ll assist through all stages of the compliance and ethics life cycle including compliance programme assessments, development and transformation, risk assessment, and industry regulatory compliance.

Job Description:
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 follow up 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: Any Grad / Post Grad / CA / CIA / CS from a reputed institute, with prior experience in
Controls & Compliance or Internal Audit (3+ years)
Essential Skills:
 Ability to handle work pressure / deadlines and deliver consistent results
 Highly motivated and self-starter
 Excellent communication (written and oral) and interpersonal skills
 Proven ability to build, manage and foster a team-oriented environment
 Strong analytical skills and proven ability to work creatively and analytically in a problem-solving
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-Internal Audit,SOX Compliance
Preferred Skill Set-Internal Audit,SOX Compliance
Year of experience required-3+ years
Qualifications-CA