R&I Personal Independence Investments CoE - Manager

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 enterprise risk management at PwC will focus on identifying and mitigating potential risks that could impact an organisation's operations and objectives. You will be responsible for developing business strategies to effectively manage and navigate risks in a rapidly changing business environment.

Enhancing your leadership style, you motivate, develop and inspire others to deliver quality. You are responsible for coaching, leveraging team member’s unique strengths, and managing performance to deliver on client expectations. With your growing knowledge of how business works, you play an important role in identifying opportunities that contribute to the success of our Firm. You are expected to lead with integrity and authenticity, articulating our purpose and values in a meaningful way. You embrace technology and innovation to enhance your delivery and encourage others to do the same.

Examples of the skills, knowledge, and experiences you need to lead and deliver value at this level include but are not limited to:

• Analyse and identify the linkages and interactions between the component parts of an entire system.
• Take ownership of projects, ensuring their successful planning, budgeting, execution, and completion.
• Partner with team leadership to ensure collective ownership of quality, timelines, and deliverables.
• Develop skills outside your comfort zone, and encourage others to do the same.
• Effectively mentor others.
• Use the review of work as an opportunity to deepen the expertise of team members.
• Address conflicts or issues, engaging in difficult conversations with clients, team members and other stakeholders, escalating where appropriate.
• Uphold and reinforce professional and technical standards (e.g. refer to specific PwC tax and audit guidance), the Firm's code of conduct, and independence requirements.

As part of the Risk & Independence Center of Excellence team, you will facilitate subject matter expertise assessments of certain investments (e.g., non-diversified funds, non-registered products, investments through variable insurance products and employee benefit plans, 529 savings plans, structured products) related to partners and employees in the US, Mexico and the Acceleration Centers (ACs).  As a manager you will lead a cross-functional team, providing guidance on auditor independence concepts while managing compliance processes and fostering a culture of integrity and professionalism. This position presents an exciting opportunity to engage with various stakeholders, develop training programs, and contribute to establishing industry-leading standards in independence compliance.

Responsibilities

- Analyze and assess independence matters to identify potential regulatory (audit or non-audit) or firm breaches.

- Providing the team with subject matter expertise, ongoing support and contributing to maintaining the overall quality of the team's work.

- Engage with various stakeholders to maintain adherence to professional standards.

- Promote a culture of accountability and continuous improvement within the team

What You Must Have

- High School Diploma

- At least 4 years of experience in personal independence, risk & Independence, or asset and wealth management client service

What Sets You Apart

- Bachelor's Degree preferred-

- Understanding compliance and data processes in professional services

- Demonstrating analytical and technical skills in policy application

- Managing coaching and development efforts of the team

- Leading and directing multiple projects to completion

- Managing multiple stakeholders with competing interests

- Developing and presenting subject matter training

- Excelling in interpersonal, writing, and oral communication skills

- Broad knowledge of financial products such as retirement plans, variable annuities, mutual funds, ETFs and registered non-diversified funds

- Broad knowledge of financial statements and other regulatory filings (e.g. Form 5500 Annual Return/Reports of Employee Benefit Plans, N-CSR, 10-K, N-PORT)

- Consulting with professionals throughout the US firm and the global firm regarding the application of the independence rules established by the SEC, AICPA, PCAOB, including affiliate definitions, and assisting engagement teams in understanding potential violations, mitigating factors and concluding on the firm’s independence

- Ability to engage and leverage AI tools (e.g. CoPilot, ChatGPT, ChatPwC)

The salary range for this position is: $73,500 - $212,280. For residents of Washington state the salary range for this position is: $73,500 - $244,000. Actual compensation within the range will be dependent upon the individual's skills, experience, qualifications and location, and applicable employment laws. All hired individuals are eligible for an annual discretionary bonus. PwC offers a wide range of benefits, including medical, dental, vision, 401k, holiday pay, vacation, personal and family sick leave, and more. To view our benefits at a glance, please visit the following link: https://pwc.to/benefits-at-a-glance

As PwC is an equal opportunity employer, all qualified applicants will receive consideration for employment at PwC without regard to race; color; religion; national origin; sex (including pregnancy, sexual orientation, and gender identity); age; disability; genetic information (including family medical history); veteran, marital, or citizenship status; or, any other status protected by law. 

PwC does not intend to hire experienced or entry level job seekers who will need, now or in the future, PwC sponsorship through the H-1B lottery, except as set forth within the following policy: https://pwc.to/H-1B-Lottery-Policy.

Learn more about how we work: https://pwc.to/how-we-work

For only those qualified applicants that are impacted by the Los Angeles County Fair Chance Ordinance for Employers, the Los Angeles' Fair Chance Initiative for Hiring Ordinance, the San Francisco Fair Chance Ordinance, San Diego County Fair Chance Ordinance, and the California Fair Chance Act, where applicable, arrest or conviction records will be considered for Employment in accordance with these laws.  At PwC, we recognize that conviction records may have a direct, adverse, and negative relationship to responsibilities such as accessing sensitive company or customer information, handling proprietary assets, or collaborating closely with team members. We evaluate these factors thoughtfully to establish a secure and trusted workplace for all.