E&C Independence Compliance Operations - Senior Associate

  • Company: PwC
  • Location: Tampa, Florida
  • Posted: November 09, 2017
  • Reference ID: 102078BR
PwC/LOS Overview
PwC is a network of firms committed to delivering quality in assurance, tax and advisory services.

We help resolve complex issues for our clients and identify opportunities. Learn more about us at www.pwc.com/us.

At PwC, we develop leaders at all levels. The distinctive leadership framework we call the PwC Professional (http://pwc.to/pwcpro) provides our people with a road map to grow their skills and build their careers. Our approach to ongoing development shapes employees into leaders, no matter the role or job title.

Are you ready to build a career in a rapidly changing world? Developing as a PwC Professional means that you will be ready
- to create and capture opportunities to advance your career and fulfill your potential. To learn more, visit us at www.pwc.com/careers.

It takes talented people to support the US firm of the largest professional services organization in the world. Not all of us work directly with external clients. Some of our best people choose to apply their talents inside PwC.

As part of Internal Firm Services, you're serving an organization on par with many of our external clients. Our Internal Firm Services team consists of first-rate marketers, human resource professionals, computer technologists, knowledge managers, accountants, financial planners, administrators and leaders. Internal Firm Services staff are the people who make it work for the people who make it work for our clients.

Job Description
The PricewaterhouseCoopers (PwC) Ethics & Compliance (E&C) Office advances and fosters integrity based decision making and conduct by PwC professionals throughout our organization.

We promote and monitor compliance with applicable external laws and regulations as well as internal policies and procedures, and thus help manage PwC's regulatory, litigation and reputational risk.

The Independence Compliance Operations Group is accountable for data quality and operational effectiveness of key independence systems, including Central Entity Service (CES) and Independence Checkpoint.

Position/Program Requirements
Minimum Year(s) of Experience: 2

Minimum Degree Required: High School Diploma or GED

Degree Preferred: Bachelor's degree

Knowledge Preferred:

Demonstrates thorough knowledge of, and/or proven record of success,

working with auditor Independence policies, how the policies are implemented within a system, and ways to integrate independence policy and systems with business and strategic priorities, preferably for a global network of professional services firms, emphasizing the following:

- Understanding of the information available in SEC filings relevant to SEC registrants required to file under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940.

Familiarity with internal and external systems including: CES, Independence Checkpoint, Brokerage Simplification Program, Global Client Portal, Acceptance & Continuance, D&B Global Reference Solution, Audit Analytics, and SNL Financial, a plus.

Skills Preferred:

Demonstrates thorough abilities, and/or proven record of success in working with financial products, such as stocks, bonds, mutual funds, variable insurance products, common/collective trust funds, structured products, 529 savings plans and the implications of investing in these products on auditor independence, preferably for a global network of professional services firms, emphasizing the following:

- Performing research within regulatory filings for compliance, data quality and independence systems maintenance; and,
- Collaborating with others to resolve complex problems and use independent judgment to resolve challenging business problems.

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