Associate – Compliance, Independence and Ethics

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 facilitate 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.

The Pillar comprises: Compliance (AML and Sanctions), Independence, Ethics & Business Conduct (E&BC). As a Compliance, Independence & Ethics Associate, you will work alongside 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 ample opportunities to receive coaching. You will receive close supervision and guidance from your manager and senior team members as you contribute to maintaining our high standards of ethical behaviour and compliance.

Your primary focus will be on learning processes, supporting ongoing activities, and developing your professional skills. The role offers excellent training opportunities and a strong pathway for professional growth within the firm.

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 senior associate, manager, or a senior manager and in some cases, a director or partner.
• You will assist with core compliance, independence, and ethics tasks as directed by senior staff as follows:

• Review and organise documentation, notices, and communications from our business, regulators and the PwC Network.
• Supporting with annual reviews of and updates to policies and procedures.
• Monitoring mailboxes and forwarding items to the appropriate colleagues.
• Allocation and tracking of mandatory compliance tasks for new joiners.
• Maintenance and updating of records and registers, such as systems access and breaches logs.
• Participate in team meetings and training sessions to build your knowledge and skills.
• General administrative support to the risk, compliance, and ethics teams as required.
• Conducting compliance monitoring tests and preparing reports on the results (e.g. Personal Independence Compliance Testing (PICT) 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.

Direct Reports: This role reports to: Compliance, Independence and Ethics Manager and Senior Associate. There are no direct reports into this role.

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 role.

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.
• Effective communication skills.
• 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 or experience in auditor independence rules, insider dealing requirements and/or conflicts management.
• Knowledge, understanding of or experience in financial crime compliance or client due diligence.
• Experience in using AI tools such as Co-Pilot, Chat GPT in a work environment to drive efficiencies in operations.
• Audit, compliance or risk management knowledge, understanding or experience.

Travel Requirements: It is anticipated that this role will require travel between the islands of Jersey and Guernsey once a quarter.

Diversity: We work 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.