Senior Compliance Auditor

Job description

Senior Compliance Auditor

Base Location: Birmingham or Leeds  

The KPMG Business Services function is a cornerstone of our UK business. Operating from 20 UK locations and sitting with KPMG Central Services we do work that matters.

Within Central Services we are part of a community of experts across a wide range of critical activities who help grow, run, and protect KPMG in the UK.

From HR and Learning, Finance, Procurement, Facilities and Business Support, through to Risk and Legal, Corporate Affairs, and Sales and Marketing, our approach is focused on driving the improved performance of the firm, which we support with diligence and expertise.

KPMG is one of the world's largest and most respected consultancy businesses, we've supported the UK through times of war and peace, prosperity and recession, political and regulatory upheaval. We've proudly stood beside the institutions and businesses which make the UK what it is.

Why Join KPMG as a Senior Compliance Analyst

The Partner Independence team are part of the wider Ethics & Independence (“E&I”) team and sit within Quality and Risk Management. The E&I team is responsible for developing and deploying appropriate policy, procedure and guidance on Ethics and Independence (firm, personal and service-related) to ensure compliance with regulatory and KPMG International requirements, ensuring an adequate programme of communication and training in respect of those policies and procedures is in place and providing guidance and advice to Partners and staff on all E&I matters.

The Partner Independence team provide support and guidance to all of KPMG’s Partners and Directors and play an important role ensuring personal independence compliance is met and upheld by helping them to accurate maintain their personal compliance records in line with the policies and procedures surrounding their personal financial affairs.

What will you be doing?

This role will involve you supporting Partners and Directors through the personal compliance audit process.

You will autonomously undertake personal compliance audits in regard to the personal financial arrangements (mainly investments) held by our Partners, Directors and their family members. You will handle a high volume of audits with an absolute focus on quality whilst working within strict timelines.

The purpose of the personal compliance audits is to ensure the details regarding financial arrangements are reported accurately in our compliance system and cross check against current documentation and will consult with your team leader immediately when anomalies arise. You will be responsible for supervising data gathering, collation, checking and reviewing the outputs related to the personal compliance audits, and for appropriate and timely escalation of any issues.

The role will involve other key responsibilities covering a wide range of tasks in addition to the quota of audits allocated to you.

• Developing an understanding of investment products and how they relate to the independence requirements set out by our external regulators and our internal policies, demonstrating the ability to deal with complex and sensitive queries.
• Conducting personal compliance audits by reviewing the provided information and documents; liaising with Partners and Senior Leaders in respect of their investments; accurately recording information within the relevant systems.
• Tracking progress of completion and regularly reporting to the team leader, ensuring that identified breaches of regulation or firm policy are escalated and recorded in the correct manner as per process requirements.
• Supporting the team with other adhoc key tasks as and when required.

What will you need to do it?
 

• The ability to work autonomously and take responsibility for the quality of the work.
• Strong time management skills to enable identification of required tasks and deadlines and be able to plan and prioritise their tasks effectively.
• Strong team-player who is both supportive and willing to help others in line with a collaborative working environment.
• Client-focused approach with a passion for delivering excellence and a high quality service.
• Excellent written and oral communication skills, ability to communicate with people at all the most senior levels and build relationships effectively.
• The ability to interpret information and identify issues and escalate in line with procedures.
• The ability to work well under pressure.
• Extremely high level of attention to detail is essential.
• The ability to handle sensitive/confidential information appropriately where absolute discretion is required.
• The confidence to challenge the status-quo and provide fresh ideas.
• Strong knowledge of Microsoft Office applications.
• Prior working experience in a professional services firm and understanding of investment products are an advantage but not essential as full training will be provided.

To discuss this or wider Central Services roles with our recruitment team, all you need to do is apply, create a profile, upload your CV and begin to make your mark with KPMG.

Find out more:

Within Central Services we have a range of divisions and specialisms.  Click the links to find out more below:

• Central Services (KBS) at KPMG: www.kpmgcareers.co.uk/experienced-professional/kpmg-business-services/
• Inclusivity and KPMG: www.kpmgcareers.co.uk/people-culture/being-inclusive/
• KPMG Workability and Disability confidence: www.kpmgcareers.co.uk/experienced-professional/applying-to-kpmg/need-support-let-us-know/

For any additional support in applying, please click the links to find out more:

• Applying to KPMG: www.kpmgcareers.co.uk/experienced-professional/applying-to-kpmg/
• Tips for interview: www.kpmgcareers.co.uk/experienced-professional/applying-to-kpmg/application-advice/
• KPMG values: www.kpmgcareers.co.uk/experienced-professional/applying-to-kpmg/our-values/
• KPMG Competencies: www.kpmgcareers.co.uk/experienced-professional/applying-to-kpmg/kpmg-competencies/
• KPMG Locations and FAQ: www.kpmgcareers.co.uk/faq/?category=Experienced+professionals