Job description

E&C Independence Compliance Operations Manager I

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Job Category:   Legal
Line of Service:   IFS
State & City:   FL-Tampa
Travel Requirements:   0-20%
Position Type:   Manager
Req ID:   102058BR
PwC/LOS Overview
PwC is a network of firms committed to delivering quality in assurance, tax and advisory services.

We help resolve complex issues for our clients and identify opportunities. Learn more about us at

At PwC, we develop leaders at all levels. The distinctive leadership framework we call the PwC Professional ( provides our people with a road map to grow their skills and build their careers. Our approach to ongoing development shapes employees into leaders, no matter the role or job title.

Are you ready to build a career in a rapidly changing world? Developing as a PwC Professional means that you will be ready
- to create and capture opportunities to advance your career and fulfill your potential. To learn more, visit us at

It takes talented people to support the US firm of the largest professional services organization in the world. Not all of us work directly with external clients. Some of our best people choose to apply their talents inside PwC.

As part of Internal Firm Services, you're serving an organization on par with many of our external clients. Our Internal Firm Services team consists of first-rate marketers, human resource professionals, computer technologists, knowledge managers, accountants, financial planners, administrators and leaders. Internal Firm Services staff are the people who make it work for the people who make it work for our clients.

Job Description
The PricewaterhouseCoopers (PwC) Ethics & Compliance (E&C) Office advances and fosters integrity based decision making and conduct by PwC professionals throughout our organization.

We promote and monitor compliance with applicable external laws and regulations as well as internal policies and procedures, and thus help manage PwC's regulatory, litigation and reputational risk.

The Independence Compliance Operations Group is accountable for data quality and operational effectiveness of key independence systems, including Central Entity Service (CES) and Independence Checkpoint.

Position/Program Requirements
Minimum Year(s) of Experience: 4

Minimum Degree Required: High School Diploma or GED

Degree Preferred: Bachelor's degree

Knowledge Preferred:
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.

Skills Preferred:
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.
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