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 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. This role offers opportunities in regulatory compliance, risk management, and business ethics consulting at PwC.
You are a reliable, contributing member of a team. In our fast-paced environment, you are expected to adapt, take ownership and consistently deliver quality work that drives value for our clients and success as a team. As a Specialist, you'll work as part of a team of problem solvers, helping to solve complex business issues from strategy to execution, focusing on internal firm services and compliance solutions.
Eligibility / Qualification Required:
- Apply a learning mindset and take ownership for your own development.
- Appreciate diverse perspectives, needs, and feelings of others.
- Adopt habits to sustain high performance and develop your potential.
- Actively listen, ask questions to check understanding, and clearly express ideas.
- Seek, reflect, act on, and give feedback.
- Gather information from a range of sources to analyse facts and discern patterns.
- Commit to understanding how the business works and building commercial awareness.
- Learn and apply professional and technical standards (e.g. refer to specific PwC tax and audit guidance), uphold the Firm's code of conduct and independence requirements.
- Acting as an Independence Office liaison to PwC US and MX partners by answering emails and providing them with guidance and assistance with R&I topics, such as personal independence, regulatory compliance and other topical areas covered by knowledge base documents and internal systems (investments portfolio, automated investment recording system, learning and development, CPA licensing, CPE compliance).
- Updating and monitoring PwC partner’s investment portfolios, checking partners’ compliance with the firm’s investment recording system, and granting access to financial advisors (i.e., brokers).
- Pre-clearing and vetting potential investments by PwC partners, as well as evaluating and granting dispensation requests, and sending disposal notices for impermissible investments.
- Notifying PwC partners of upcoming personal independence audits and compliance confirmations and following up on pending compliance related tasks.
- Evaluating the risk and permissibility of the financial and non-financial relationships of PwC partners and direct admit partners.
- Employing analytical and technical skills, as well as intellectual curiosity.
- Communicating clearly and professionally in English, both orally and in writing.
- Exhibiting administrative and time management skills.
- Working productively in an environment with evolving deadlines and priorities; flexing approach to meet changing needs.
- Paying significant attention to detail to identify and correct issues; identifying and making suggestions for efficiencies and and improvements when performing work.
- Using tools, techniques and firm standard methodologies to support research, analysis and problem solving; taking action to stay current with new and evolving technology.
- Conducting self in a professional manner and taking responsibility for work and commitments.
- Handling, manipulating and analyzing data and information responsibly.
- Communicating with empathy and adapting communication style to meet the needs of the situation and audience.
- Embracing different points of view and welcoming opposing conflicting ideas.
- Upholding the firm's code of ethics and business conduct.
- Demonstrating critical thinking and the ability to bring order to unstructured problems, including applying judgment to inform recommendations.
- Promoting an atmosphere of trust, confidentiality, professionalism, and integrity.
- Gaining solid knowledge of PwC US independence policy, operating processes and functional areas of Personal Independence.
- Handling sensitive information responsibly and respecting its confidentiality.
- Honing your communication skills, written and verbal.
- Assessing potential issues and/or roadblocks and escalating accordingly and on time.
- Becoming familiar with the use of required systems and applications.
- Researching topics and processes for ongoing audits.
- Creating a team culture regarding communications, work ethic and deliverables.
- Consistently delivering high quality work in a timely fashion and seeking to develop soft skills or new technical skills.
- Identifying opportunities for efficiencies and taking action to implement them.
- Students or graduates in: Law, Translation, International Studies, Accounting, Economics, Political Sciences, Management, with an interest in developing a career in Compliance.
- At least 1 year of relevant work experience (contact center and/or ticketing system experience is a plus).
- Availability to work according to US schedule (EST time zone, local bank holidays).
- Proven ability to communicate clearly and professionally, both orally and in writing, with strong customer service orientation (English/Spanish).
- Knowledge of US and MX financial products is a plus.
- Understand the importance of having correct information management.
- Knowledge of Information Security and Data Protection.
- Correct Information Security Management.
General Conditions:
All qualified applicants will receive consideration for employment at PwC without regard to ethnicity; creed; color; religion; national origin; age; disability; neurodiversity; sexual orientation; gender identity or expression; marital; or any other status protected by law. PwC is proud to be an inclusive organization and equal opportunity employer.
Travel Requirements Not Specified.
How to Apply:
Specific application instructions (e.g., required documents, submission method, and destination) are not provided in the job description.
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