Ethics & Compliance - Core Compliance Requirements Analyst - Olivos - US Client

• Conduct self in a professional manner and take responsibility for work and commitments.
• Flex approach to meet the changing needs of teams and clients.
• Identify and make suggestions for efficiencies and improvements when performing work.
• Take action to stay current with new and evolving technology.
• Use tools, techniques and firm standard methodologies to support research, analysis and problem solving.
• Handle, manipulate and analyse data and information responsibly.
• Communicate with empathy and adapt communication style to meet the needs of the situation and audience.
• Manage expectations of stakeholders effectively.
• Embrace different points of view and welcome opposing and conflicting ideas.
• Uphold the firm's code of ethics and business conduct.

• Managing the CCR reporting process including working with large, complex data sets when building reports and leveraging new tools to provide insights (e.g. Alteryx, Tableau, UiPath, Google scripting, Workbench, Google Scripting, Power BI etc.).
• Proficiency in Microsoft Office (especially Excel) and G-Suite;
• Utilizing written, verbal, and interpersonal skills, fluency in both speaking and writing in English and Spanish is required;
• Ability to work independently with less standardized processes;
• Driving continued improvements across our business process documentation ensuring they are comprehensive, up to date and are embedded in our day to day procedures;
• Streamlining processes using some of the leading technology available (e.g. Alteryx, Tableau, UiPath, G-Suite, Workbench, Google Scripting, Power BI etc.) and/or other emerging automation technologies; and,
• General working knowledge of compliance policies and processes;
• Engaging with E&C resources and stakeholders to deliver on our CCR program’s vision;
• Developing and managing key SLAs, reporting dashboards and management reporting to leadership;
• Updating the CCR site as needed;

• Learning new technologies quickly and without formal training.

• Identify appropriate populations for chase and escalation: Review and reconcile source system reports to determine appropriate late compliant populations.
• Chasing and escalations for CCRs: Email individuals with upcoming or overdue Core Compliance Requirement (CCR) deadlines to remind them that they need to complete the requirement as soon as possible (based on pre-existing templates and including appropriate contacts).

• Information Request (IR) Process: Send Information Requests to identified individuals and review responses to IRs; depending on IR responses, conduct due diligence to determine outcome (ie review of IT tickets).
• Provide IR summary findings to E&C contacts
• Sanctions Documentation and Escalation:

• Document in Salesforce sanctions conclusions.
• Send Notice of Late Completion sanction emails via a Google script for individuals who have missed their deadline and completed within 30 days of deadline.
• Notify E&C of individuals who complete after 30 days.
• Update tracker with sanction outcomes from Salesforce.
• Responses to inquiries: Respond to any questions that individuals have regarding the CCR process. Examples of questions can be related to the requirement itself, Notice of Late Completion, how they can request an exemption and occasionally responding to additional information that users provide related to their reasoning for having missed a deadline.
• Maintain communication templates: assist E&C with updates as required.
• Special project assistance: reporting, internal audit responses, CCR clearance checks, etc.

PwC