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 Senior Associate – Compliance, Independence and Ethics role is located in Jersey.
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The Business Enablement – Ethics and Compliance Pillar comprises: Compliance (AML and Sanctions), Independence, and Ethics & Business Conduct (E&BC). As a Compliance, Independence & Ethics Senior Associate, you will work alongside the Compliance, Independence & Ethics leadership team to support the delivery of compliance, independence and ethics activities and projects. Each PwC Member Firm implements systems, policies, and procedures necessary to comply with the detailed requirements of Independence, Ethics and Compliance Standards. Auditor independence is fundamental to maintaining trust and credibility at PwC. It ensures that our professional judgement is free from any influence that could compromise objectivity. Employees and partners of the firm have a personal responsibility to manage their financial interests and arrangements in strict compliance with independence policies. Ethics is a core part of PwC’s culture and brand. Maintaining a strong ethical culture is key to how we approach our relationships with clients, stakeholders, and each other to deliver our PwC Purpose: to build trust in society and solve important problems. Our firm is committed to the highest standards of ethical behaviour and compliance. Business conduct encompasses the principles and policies that guide how we operate and interact with clients, regulators, and each other. PwC also implements systems, policies, and procedures to mitigate the risk of being, directly or indirectly, involved in money laundering, terrorist financing, and proliferation financing activity and to prevent being involved with clients or activities that may violate applicable sanctions laws and regulations. This role will provide key insight into how the Firm manages risk in the face of increasing Network and regulatory requirements in these areas. You will also have the opportunity to work collaboratively with other Business Enablement teams, allowing you to broaden your experience and make a wider impact across the organisation. Our team culture emphasises mutual support and continuous professional development, ensuring you have many opportunities to receive coaching. This is an excellent opportunity for Compliance, Independence, and Ethics careers at PwC.

Eligibility / Qualification Required:

Qualifications & Certifications:

• A relevant professional qualification (e.g., ACCA, ICAEW, etc.) would be beneficial.
• Further study support is also available if candidates wish to pursue study in an area relevant to the role.

Degrees/Field of Study:

• No specific degree or field of study is explicitly required.

Certifications:

• No specific certifications are explicitly required.

Skills & Experience Required:

Essential skills:

• Strong organisational skills – ability to plan and work to deadlines.
• Tech-savvy mindset with a willingness to explore and master internal systems to support business operations.
• Enthusiastic, energetic, and driven by challenge.
• Excellent communication skills – with the ability to collaborate with cross-functional teams and stakeholders at all levels.
• Proactive, self-motivated, and able to take responsibility for own work.
• Attention to detail.
• Team player, respected by the leadership team, the managers, and the staff.
• Audit, compliance or risk management expertise.

Desirable skills:

• Knowledge, understanding of and experience in auditor independence rules, insider dealing requirements and/or conflicts management.
• Knowledge, understanding of and experience in financial crime compliance or client due diligence.
• Coaching junior team members.
• Delivering training and development of training materials.
• Experience in using AI tools such as Co-Pilot, Chat GPT in a work environment to drive efficiencies in operations.

Responsibilities:

You will be responsible for performing various processes and operating various controls in the team alongside other colleagues. Tasks will be assigned based on business needs; however, we will seek to provide you with a primary area of responsibility. Your work will be reviewed and approved by a manager, a senior manager and in some cases, a director or partner.

Policy Compliance, reviews, and investigations

• Supporting with annual reviews of and updates to policies and procedures.
• Receive and review internal applications (e.g. external appointments for partners and staff; requests for firm sponsorship and speaking events).
• Receive and review consultations and draft responses in line with policy.
• Investigate breaches and support with root cause analysis (self-reported/ detected during compliance monitoring).
• Review pre-joining independence forms and independence/conflicts disclosures for new joiners.

Monitoring & Reporting

• Conducting compliance monitoring tests and preparing reports on the results (e.g. Personal Independence Compliance Testing (PICT)).
• Maintain and update compliance registers (systems access, breaches, dispensations).
• Manage and action assigned compliance tasks within various Compliance, Independence, and Ethics systems (e.g. ServiceNow; Checkpoint; Adverse News, PEP, and Sanctions Escalations).
• Assist with the preparation of quarterly reporting to the Risk and Quality Committee, Partner Responsible for Independence, and Ethics, as well as Quality Leaders.
• Assist with the preparation of mandatory reporting to regulators and preparation for regulatory inspections.
• Oversee checkpoint-related activities for new joiners and promotions.

Process & Documentation

• Maintain and update process notes for compliance, independence, and ethics team tasks.
• Maintain communications logs, including internal communications, regulatory communications, and communications from the PwC Network - assigning and tracking actions allocated to team members.
• Coordinate review schedules for Directors/Partners.
• Assist with implementing global independence and compliance applications for the Channel Islands firm, as well as User Acceptance Testing for system changes.

Training & Communication

• Support the delivery of training to new joiners.
• Prepare training materials for new joiners and annual partner and staff training sessions.
• Allocate Compliance Confirmations to new joiners.
• Communicate independence matters to the firm using approved channels.
• Support the roll-out and review of Annual Compliance Confirmations for all partners and staff within the firm.

Team Support

• Organise monthly team meetings, set agendas, take notes, and track actions.
• Manage schedule of reviews by leadership within the team.
• Contribute to process enhancements to drive operational efficiency and excellence.
• Work collaboratively with remote teams and colleagues in other territories and locations.

How to Apply:

Application instructions, required documents, and submission methods are not provided in the job description.

General Conditions:

• Direct Reports: This role reports to a Compliance, Independence and Ethics Manager and/or Senior Manager. There are no direct reports into this role.
• Travel Requirements: It is anticipated that this role will require travel between the islands of Jersey and Guernsey once a quarter (Up to 20%).
• Work Visa Sponsorship: Not available for work visa sponsorship.
• Government Clearance: Government Clearance is not required.
• PwC Professional Skills: All our people need to demonstrate the skills and behaviours that support us in delivering our business strategy. These skills and behaviours make up our global leadership framework, Evolved PwC Professional, which focuses on two core behaviours: Trusted Leadership and Distinctive outcomes. Trusted Leadership is underpinned by core behaviours that Inspire, Empower and Evolve, and Distinctive outcomes is underpinned by behaviours that Champion, Build and Deliver.
• Diversity: PwC works in a changing world which offers great opportunities for people with diverse backgrounds and experiences. We seek to attract and employ the best people from the widest talent pool as well as those who reflect the diverse nature of our society. We aim to encourage a culture where people can be themselves and be valued for their unique strengths. Creating value through diversity is what makes us strong as a business. More information is available at: https://pwc.to/2vY6KZm.

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