Compliance Senior Associate

Job Description

Line of Service

Internal Firm Services

Industry/Sector

Not Applicable

Specialism

IFS - Human Capital (HC)

Management Level

Senior Associate

Job Description & Summary

A career in our Ethics and Business Conduct - Practice Support practice, within Risk and Compliance services, will offer you the opening to team up with a team that provides customers with extensive risk and controls technical know-how and sector specific experience. You’ll have the prospect to build a holistic approach to risk that protects businesses, facilitates strategic decision making and enhances effectiveness by assisting management in the assessment of project risks and controls.

Our team helps PwC shape and design effective compliance and ethics initiatives that help us proactively oversee our ethics and compliance programmes. You’ll assist through all stages of the compliance and ethics life cycle covering compliance programme assessments, development and transformation, risk assessment, and industry regulatory compliance.

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 among them aspects being reviewed and newer areas
to be included in the future
 Lead and carry out 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, pinpoint 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 main stakeholders
 Finalize exceptions and discuss them with concerned teams to agree on facts and way forward
 Deliver suggestions w.r.t. improvements in guidelines / risk processes to mitigate exceptions /
upgrade 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 main stakeholders and works independently in representing
Compliance lead in a range of forums / discussions.
 Recognise and actively contribute to leading main initiatives for the function (such as draw on 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.
 Shape a learning culture by coaching, counselling, and training team members by offering
objective support and supervision, sharing ideas/information/know-how through sound
leadership capabilities.
 Contribute significantly towards establishing sound and effective awareness and consciousness
towards compliance needs within the organization. 
Education and Experience:
 Essential: CA / MBA / CIA / CS from a reputed institute, with prior exposure to Controls &
Compliance or Internal Audit (4-6 years)
Essential Abilities:
 Capacity to handle work pressure / deadlines and produce consistent results
 Highly motivated and self-starter
 First-rate communication (written and oral) and interpersonal capabilities
 Proven aptitude to create, oversee and foster a team-oriented environment
 Robust analytical abilities and proven capacity to work creatively and analytically in a problem-solving
environment
 Willingness to work independently without much upward / downward support
 Outstanding leadership and management abilities
 Curious, willingness to learn and contribute to functional / organizational goals

Mandatory Skill Set: Compliance, Internal Audit, SOX Compliance, Compliance testing
Preferred Skill Set: Compliance, Internal Audit, SOX Compliance, Compliance testing
Year of experience required: 5+ years
Qualifications: CA / MBA / CIA / CS from a reputed institute, with prior background in Controls & Compliance or Internal Audit

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)

Required Competencies

Compliance Testing, Internal Auditing, SOX Compliance Audit

Optional Abilities

Desired Languages (If blank, desired languages not specified)

Travel Needs

Available for Work Visa Sponsorship?

Government Clearance Required?

Job Posting End Date

This Compliance Senior Associate vacancy is based in Gurugram.