Internal Firm Services - Ethics & Compliance - Compliance Manager

Position/Program Title

Ethics & Compliance Manager at AC Kolkata

PwC/LoS Overview

PricewaterhouseCoopers Service Delivery Centre (Kolkata) Private Limited is a joint venture in India among members of the PricewaterhouseCoopers Network that will leverage the scale and capabilities of its network. It is a member firm of PricewaterhouseCoopers International Limited and has its registered office in Kolkata, India.

The Delivery Center will provide a professional an opportunity to work in a dynamic environment where you will have the ability to develop process and quality-based skills

Job Description

The AC Kolkata Ethics & Compliance Manager is a local ethics and compliance role responsible for (1) managing a broad range of ethics and compliance responsibilities, supporting the PwC US Ethics & Compliance program as well as the AC Kolkata Ethics & Compliance program (2) providing guidance on policy and our firm values to employees through communications, training and direct contacts seeking advice. The policy subject matter specialty areas may involve among other issues, anti-corruption, antitrust, economic sanctions, information protection, privacy, insider trading, trade compliance, harassment, discrimination, retaliation and other suspected violations of ethics and compliance policies. The role requires a high degree of independent judgment, fairness, and objectivity.

As a Manager, 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:

• Promote the firm’s values, ethics and policies so that they are recognised as central to success.

• Guided by values, principles and ethics.

• Encourage new ways of thinking, leveraging the latest technology.

• Protect the firm through implementing risk management and compliance procedures.

• Draw on past experiences and lessons learnt to manage risk and drive higher quality outcomes.

• Demonstrate a high degree of professional skepticism, independence, and objectivity.

• Navigate difficult conversations with clarity and sensitivity.

• Maintain a fresh perspective on local, global and cross-cultural issues.

• Initiate open and candid coaching conversations at all levels.

• Contribute technical knowledge in the area of specialism.

• Contribute to an environment where people and technology thrive together to accomplish more than they could apart.

• Uphold the firm’s code of ethics and business conduct.
  

Responsibilities include:

• Conduct legal and regulatory research and analysing technical matters.

• Provide advice and counsel on compliance related policies, controls and best practices.

• Perform compliance risk assessments in order to ensure compliance with applicable guidelines, policies and procedures.

• Provide consultation regarding compliance matters, review and approval of gifts and entertainment activities, and responding to ongoing inquiries from internal stakeholders or internal functional groups, escalating as appropriate.

• Compliance monitoring, training, implementation of internal controls for compliance related areas, and identifying and implementing process improvement opportunities.

• Perform third party due diligence/adverse data review, industry benchmarking, financial data (e.g. expense) testing, business process improvement, project management, and data analytics to support the compliance program;

• Participate in Ethics & Compliance internal and external reviews.

• Collaborate with key stakeholders across the firm including the People team, Risk Management, Information Security and the Office of General Counsel (OGC) to ensure compliance with the standards and Ethics and Compliance policies and procedures.

• Support functional leaders as needed from an ethics or compliance perspective, including colleagues in the People team, Risk Management and OGC, and transition to them matters more appropriate for their handling given their subject matter speciality.

• Draft and deliver ethics and compliance training and communications with subject matter specialists in Learning & Development and our communications functions through an established firm-wide schedule and cadence, as well as ad hoc when needed.

• Prepare trend analyses,analyzing ethics and compliance data and preparing reports for management.

Position/Program Requirements

Knowledge Preferred:

Demonstrates understanding of ethics, compliance, governance, and/or risk management programs and operations within a multinational company, emphasizing understanding of the following areas:

• Conducting legal and regulatory research and analysing technical matters, while utilising problem-solving skills both individually and as a team.

• Providing advice and counsel on compliance related policies, controls and best practices.

• Providing consultation regarding compliance matters, review and approval of gifts and entertainment activities, and responding to ongoing inquiries from internal stakeholders or internal functional groups, escalating as appropriate.

• Having experience with internal reviews (including risk assessments) and audits, testing, compliance monitoring, training, implementation of internal controls for compliance related areas, and identifying and implementing process improvement opportunities.

• Performing third party due diligence/adverse data review, industry benchmarking, financial data (e.g. expense) testing, business process improvement, project management, and data analytics to support the compliance program;

• Understanding Ethics & Compliance structure and processes, preferably experience in building, developing and/or advising such compliance structures and personnel within a global professional services firm or comparable large enterprise within the private sector.

• Performing work and collaborating in multi-cultural, multi-lingual, diverse and inclusive environments.

• Demonstrating ability to work in both a team environment and independently.

• Being detail-oriented, having strong analytical skills and intellectually curious.

• Communicating effectively – verbally and in writing.

• Developing management reporting, including ad hoc reports in response to the needs of the business, local leadership, and E&C leadership.

• Maintain an up-to-date knowledge and understanding of firm’s and network’s requirements, compliance and reporting responsibilities.

• Perform other related duties as assigned.

• Handling conflicts with professionalism and respect while working under pressure.
  

Skills Preferred:

Demonstrates good understanding of compliance requirements and regulations. Managing ethics, code-of-conduct, compliance and related topics, policies and processes from an Ethics & Compliance or related perspective, and research skills through the use of firm-issued technologies (e.g. Microsoft Office—Word, Excel PowerPoint, SharePoint, et al;Google at Work—docs, sheets, slides, drive, et al; Lotus Notes, etc.):

• Good communication (both written and verbal), interpersonal and people management skills.

• Experience in conducting due diligence on third parties (Legal, Compliance and/or Finance) would be preferable.

• Strong analytical and investigative as well as research skills to identify risks.

• Leading, coordinating, implementing follow-up, and documenting assigned activities thoroughly and in a timely manner;

• Developing management reporting, including ad hoc reports in response to the needs of the business, local leadership, and PwC US E&C leadership;

• Handling conflicts with professionalism and respect while working under pressure;

• Managing ethics, code-of-conduct, compliance and related topics, policies and processes from an Ethics & Compliance or related perspective (e.g., audit, legal, forensic investigations, HR, IT, finance, security or procurement).

• Experience in managing regulatory inspections/audits would be preferable.

• Strong analytical and problem-solving skills.

• Perseverance, assertiveness, and ethical values.

• Strong sense of ownership and accountability.

• Adapts quickly to new roles, responsibilities, and changing circumstances, showing resilience and agility.
  

Prior experience in ethics, compliance, governance, risk management, audit, and/or law is strongly preferred.

Minimum Years of Experience Necessary: 6 years

Minimum Degree(s) and Certification(s) Required: Any Bachelor’s/Master’s degree (or equivalent). LL.B., CCEP-I is desirable.

Line of Service

IFS (business supporting)

Industry

Not Applicable IFS

State & City

Kolkata - India

Travel Requirements

0-20%