IN_Manager-Insider Trading-Risk-IFS-Gurugram

Line of Service: Internal Firm Services

Specialism: Operations

Management Level: Manager

Job Description & Summary 

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 facilitates 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.

Why PWC 

At PwC, you will be part of a vibrant community of solvers that leads with trust and creates distinctive outcomes for our clients and communities. This purpose-led and values-driven work, powered by technology in an environment that drives innovation, will enable you to make a tangible impact in the real world. We reward your contributions, support your wellbeing, and offer inclusive benefits, flexibility programmes and mentorship that will help you thrive in work and life. Together, we grow, learn, care, collaborate, and create a future of infinite experiences for each other. Learn more about us. 

At PwC, we believe in providing equal employment opportunities, without any discrimination on the grounds of gender, ethnic background, age, disability, marital status, sexual orientation, pregnancy, gender identity or expression, religion or other beliefs, perceived differences and status protected by law. We strive to create an environment where each one of our people can bring their true selves and contribute to their personal growth and the firm's growth. To enable this, we have zero tolerance for any discrimination and harassment based on the above considerations. 

Job Description & Summary: 

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 Risk and Quality team identifies and assists internal teams to mitigate and control client engagement risks. As part of the team, you'll provide advice to business teams within PwC on sound contract provisions, standards and approaches in accordance with PwC policies, principles and standards.

Responsibilities:

• Part of the firm's insider trading compliance team, reporting to the compliance officer of the firm.
• Good understanding of the PIT Regulations including related publications
• Regulatory interpretation and able to apply design the approach accordingly.
• Respond to stakeholders queries without compromising the compliance requirement.
• Drafting/ revising policy in accordance with regulation/global policy.
• Enhancing awareness by way of campaign, communications, training etc.
• Understanding the insider trading standard, policy and requirements to be able demonstrate compliance under ISQM/SQC framework and network standard.
• Handle internal audit, internal quality review or other internal/ external review as required.
• Familiarize with existing processes/ systems for various compliances and leverage them where possible.
• Evaluation of the existing processes and automate to the extent practicable.
• Able to interact with stakeholders, obtain facts, analysis information and conclude accordingly. including any reporting implication as per regulation and providing the final clearance.
• Maintain confidentiality in communication to the practice including senior management within the organizations.
• Understand various reporting requirement, reviews at firm level and impact of the same to the firm.
• Responsible to handle team of one or two person(s).
• Regulation interaction with SME's and drive the communications through these channels.

Mandatory Skill Sets: Insider trading regulations

Preferred Skill Sets: PIT Regulations

Years Of Experience Required: 8+ years

Education Qualification: CS / LLB / BBA / B.Com / MBA / M.Com / PGDM

Degrees/Field of Study required: Master of Business Administration, Bachelor of Commerce

Required Skills: Insider Trading

Optional Skills:

Accepting Feedback, Accepting Feedback, Accounting Practices, Active Listening, Analytical Thinking, Budget Monitoring, Business Ethics, Business Expansion, Coaching and Feedback, Code of Ethics, Communication, Compliance and Standards, Compliance Awareness, Compliance Oversight, Compliance Program Implementation, Compliance Review, Compliance Risk Assessment, Compliance Training, Corporate Compliance Programs, Creativity, Developing Policies and Guidelines, Embracing Change, Emotional Regulation, Empathy, Ethical Standards + 24 more