Ethics & Compliance - Core Compliance Requirements Analyst - Olivos - US Client

at  PwC

JOB DESCRIPTION & SUMMARY

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.
To really stand out and make us fit for the future in a constantly changing world, each and every one of us at PwC needs to be a purpose-led and values-driven leader at every level. To help us achieve this we have the PwC Professional; our global leadership development framework. It gives us a single set of expectations across our lines, geographies and career paths, and provides transparency on the skills we need as individuals to be successful and progress in our careers, now and in the future.

As a Specialist, you’ll work as part of a team of problem solvers, helping to solve complex business issues from strategy to execution. PwC Professional skills and responsibilities for this management level include but are not limited to:

• Conduct self in a professional manner and take responsibility for work and commitments.
• Flex approach to meet the changing needs of teams and clients.
• Identify and make suggestions for efficiencies and improvements when performing work.
• Take action to stay current with new and evolving technology.
• Use tools, techniques and firm standard methodologies to support research, analysis and problem solving.
• Handle, manipulate and analyse data and information responsibly.
• Communicate with empathy and adapt communication style to meet the needs of the situation and audience.
• Manage expectations of stakeholders effectively.
• Embrace different points of view and welcome opposing and conflicting ideas.
• Uphold the firm’s code of ethics and business conduct.

OPTIONAL SKILLS

Desired Languages (If blank, desired languages not specified)
English

TRAVEL REQUIREMENTS

Not Specified

DEMONSTRATES PRIOR SUCCESS IN TECHNICAL OR END USER FACING ROLES, LEVERAGING SYSTEMS, REPORTING AND NEW TECHNOLOGIES WHILE CONTINUING TO IMPROVE PROCESSES THAT SUPPORT A COMPREHENSIVE CCR PROGRAM, INCLUDING THE FOLLOWING SKILLS:

• Managing the CCR reporting process including working with large, complex data sets when building reports and leveraging new tools to provide insights (e.g. Alteryx, Tableau, UiPath, Google scripting, Workbench, Google Scripting, Power BI etc.).
• Proficiency in Microsoft Office (especially Excel) and G-Suite;
• Utilizing written, verbal, and interpersonal skills, fluency in both speaking and writing in English and Spanish is required;
• Ability to work independently with less standardized processes;
• Driving continued improvements across our business process documentation ensuring they are comprehensive, up to date and are embedded in our day to day procedures;
• Streamlining processes using some of the leading technology available (e.g. Alteryx, Tableau, UiPath, G-Suite, Workbench, Google Scripting, Power BI etc.) and/or other emerging automation technologies; and,
• General working knowledge of compliance policies and processes;
• Engaging with E&C resources and stakeholders to deliver on our CCR program’s vision;
• Developing and managing key SLAs, reporting dashboards and management reporting to leadership;
• Updating the CCR site as needed;
• Learning new technologies quickly and without formal training.

RESPONSIBILITIES

• Identify appropriate populations for chase and escalation: Review and reconcile source system reports to determine appropriate late compliant populations.
• Chasing and escalations for CCRs : Email individuals with upcoming or overdue Core Compliance Requirement (CCR) deadlines to remind them that they need to complete the requirement as soon as possible (based on pre-existing templates and including appropriate contacts).
• Information Request (IR) Process : Send Information Requests to identified individuals and review responses to IRs; depending on IR responses, conduct due diligence to determine outcome (ie review of IT tickets).
• Provide IR summary findings to E&C contacts
• Sanctions Documentation and Escalation:
• Document in Salesforce sanctions conclusions.
• Send Notice of Late Completion sanction emails via a Google script for individuals who have missed their deadline and completed within 30 days of deadline.
• Notify E&C of individuals who complete after 30 days.
• Update tracker with sanction outcomes from Salesforce.
• Responses to inquiries: Respond to any questions that individuals have regarding the CCR process. Examples of questions can be related to the requirement itself, Notice of Late Completion, how they can request an exemption and occasionally responding to additional information that users provide related to their reasoning for having missed a deadline.
• Maintain communication templates : assist E&C with updates as required.
• Special project assistance : reporting, internal audit responses, CCR clearance checks, etc.
  Understand the importance of have a correct information management
  Knowledge of Information Security and Data Protection
  Correct Information Security Management
  Todos los candidatos calificados serán considerados para trabajar en PwC sin importar etnia; credo; color; religión; nacionalidad; edad; discapacidad ; orientación sexual; identidad o expresión de género; predisposición genética o condición de portador; estado civil, o cualquier otra condición protegida por la ley. PwC se enorgullece de ser una organización inclusiva y brindar igualdad de oportunidades.
  All qualified applicants will receive consideration for employment at PwC without regard to ethnicity; creed; color; religion; national origin; age; disability; sexual orientation; gender identity or expression; genetic predisposition or carrier status; marital; or any other status protected by law. PwC is proud to be an inclusive organization and equal opportunity employer.
  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)

As a Specialist, you’ll work as part of a team of problem solvers, helping to solve complex business issues from strategy to execution. PwC Professional skills and responsibilities for this management level include but are not limited to:

• Conduct self in a professional manner and take responsibility for work and commitments.
• Flex approach to meet the changing needs of teams and clients.
• Identify and make suggestions for efficiencies and improvements when performing work.
• Take action to stay current with new and evolving technology.
• Use tools, techniques and firm standard methodologies to support research, analysis and problem solving.
• Handle, manipulate and analyse data and information responsibly.
• Communicate with empathy and adapt communication style to meet the needs of the situation and audience.
• Manage expectations of stakeholders effectively.
• Embrace different points of view and welcome opposing and conflicting ideas.
• Uphold the firm’s code of ethics and business conduct