Senior E&I Compliance Analyst

Job description

Senior E&I Compliance Analyst

Base Location: Leeds

The KPMG Risk Operations 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 us?

KPMG and its people are required to comply with the financial independence rules established by various regulators including the UK FRC, IESBA and the SEC as well as KPMG Global polices. Ensuring compliance with these requirement helps to protect the firm’s client and public relationships and uphold the reputation of the firm.

The Partner Independence Team are part of the Risk Operations Group which is responsible for monitoring the firm’s and its individuals’ compliance with the firm’s professional risk management and quality control policies, procedures and guidance. Furthermore, the Group work with the wider Quality and Risk community and across the KPMG network to exchange knowledge, develop and improve processes and procedures in response to emerging regulatory, business and other requirements.

The Role

The main responsibilities of the role include but are not limited to:

• Clearance of all potential investments for the UK partnership and partner equivalents with a focus on quality and timelines.
• Support all aspects of compliance for the UK partnership and partner equivalents and client facing professionals.
• Firm’s compliance with Regulatory and Global investment requirements, and manage audit relationships for retired partners and directors, employer pension compliance
• Oversight and management of financial data help maintain personal independence across the firm. Working closely with external financial advisers, managing compliant portfolios and data feeds and building key relationships with wealth managers and advisers.
• Ensuring that mutual fund investment data is accurately reflected in our systems and that any changes are updated to avoid regulatory breaches occurring.

What will you be doing? 

• Developing a deep understanding of investment products and how they should be assessed for independence purposes
• Reviewing preclearance requests from investment managers and internal teams in line with regulatory requirements for firm accounts
• Reviewing and reconciling the firm KICS accounts to ensure continued compliance
• Developing relationships with the Global independence team, the ultimate owners of the KICS firm accounts.
• Conducting preclearance checks as per process, and assuming responsibility as a 1st reviewer in the pre-clearance process at an early stage.
• Maintenance and twice weekly conflict of interest messaging, investigation, instructing individual action requirements and following up to completion of action.
• Reviewing the provided information and documents; liaising with Partners in respect to their investments; accurately recording information within relevant systems.
• Ensuring compliant portfolios are updated and accurate at all times. Working closely with financial advisers and wealth managers to provide compliant options for our people.
• Manage and develop relationships with external financial advisors and look at innovative ways of managing personal independence across our people.
• Produce regular, accurate reports and dashboards.
• Conducting all processes undertaken by the team
• Assisting other E&I team members with wider compliance programmes, e.g. clearance of the firm’s annual E&I confirmation exceptions in your area.

What will you need to do it? 

• The ability to work autonomously and take responsibility for own work.
• Strong project management skills to enable identification of required tasks and deadlines and planning and prioritisation of these tasks in an appropriate manner.
• Strong team-player who is both supportive and willing to help out.
• Client-focused approach with a passion for delivering excellence.
• Excellent written and oral communication skills, ability to communicate with people at all levels and build relationships.
• The ability to interpret information and identify issues.
• The ability to work well under pressure.
• Extremely high level of attention to detail is essential.
• The ability to handle sensitive/confidential information appropriately.
• 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 a plus.

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