PwC E&C Personal Independence Operations Manager in Tampa, Florida

A career in Risk Management, within Internal Firm Services, will provide you with the opportunity to advance and foster integrity based decision making and conduct by PwC professionals throughout our organisation. You’ll focus on promoting and monitoring compliance with applicable external laws and regulations as well as internal policies and procedures to help manage PwC’s regulatory, litigation, and reputational risk.

Our Compliance team is responsible for oversight of all Compliance activities by our PwC professionals. As part of the team, you’ll help promote and monitor compliance with applicable external and internal policies, laws and regulations and subsequently, manage PwC’s regulatory, litigation and reputational risk.

Responsibilities

As a Manager, you’ll work as part of a team of problem solvers with extensive consulting and industry experience, helping our clients solve their complex business issues from strategy to execution. Specific responsibilities include but are not limited to:

  • Proactively assist in the management of a portfolio of clients, while reporting to Senior Managers and above

  • Be involved in the financial management of clients

  • Be actively involved in business development activities to help identify and research opportunities on new/existing clients

  • Contribute to the development of your own and team’s technical acumen

  • Develop strategies to solve complex technical challenges

  • Assist in the management and delivering of large projects

  • Train, coach, and supervise staff

  • Keep up to date with local and national business and economic issues

  • Continue to develop internal relationships and your PwC brand

Job Requirements and Preferences :

Basic Qualifications :

Minimum Degree Required :

High School Diploma

Minimum Years of Experience :

4 year(s)

Preferred Qualifications :

Degree Preferred :

Bachelor Degree

Preferred Knowledge/Skills :

Extensive knowledge of: PwC independence policies and the independence regulations of the AICPA, SEC, PCAOB and other regulators and the impact of these policies and rules on personal financial interests and assurance engagement team responsibilities; complete understanding of what affiliations cause an entity to become subject to independence restrictions, how those affiliations are managed in the CES and whether an affiliation impacts financial relationships with an entity and/or the types of services that may be provided; in-depth knowledge of many internal and external systems including: CES, My Portfolio, Brokerage Simplification Program, Other Financial Interests, Global Client Portal, Acceptance & Continuance, D&B Global Reference Solution, Coachware, Audit Analytics, SNL; understanding of the information available in SEC filings relevant to SEC registrants required to file under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. Extensive knowledge of financial products, such as stocks, bonds, mutual funds, variable insurance products, common/collective trust funds, structured products, 529 savings plans and the implications of investing in these products on auditor independence and PwC policy on personal financial interests.

Extensive ability in completing, delegating and supervising staff to the activities within the following areas and measuring and reporting the effectiveness of these activities:

  • Independence Operations -Brokerage Simplification Program maintenance -Compliance Resource Center escalations -Global delivery center support and training -Other Financial Interests process maintenance -My Portfolio maintenance (e.g., disposal notice management and waiver monitoring) -Firms portfolio monitoring (e.g., disposal notice management and periodic confirmations) -Assurance engagement team special assessments (e.g., for acquisitions) -Unrestricted financial institution monitoring (SAFE List) -Compilation of annual issuer client list for regulatory reporting Independence Research and Data Quality -Client restriction research -Securities restriction research -529 plan restriction research -Client independence assessments -Entity restriction research projects (e.g., for potential acquisitions) -Assessment of entity restriction status changes -SEC filing monitoring (e.g., auditor changes, registration statements) Demonstrates extensive abilities and/or a proven record of success managing efforts with: researching and assessing information to reach a conclusion as to whether an entity is subject to PwC independence restrictions and why; applying an appropriate amount of professional skepticism to information gathered in order to reach an informed decision; assessing operational efficiencies and modify them as the business environment changes. Extensive experience managing and coaching staff, assisting with goal setting and establishing that the team is provided with an appropriate level of support.

All qualified applicants will receive consideration for employment at PwC without regard to race; creed; color; religion; national origin; sex; age; disability; sexual orientation; gender identity or expression; genetic predisposition or carrier status; veteran, marital, or citizenship status; or any other status protected by law. PwC is proud to be an affirmative action and equal opportunity employer.

All qualified applicants will receive consideration for employment at PwC without regard to race; creed; color; religion; national origin; sex; age; disability; sexual orientation; gender identity or expression; genetic predisposition or carrier status; veteran, marital, or citizenship status; or any other status protected by law.