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Assistant Manager - Internal Audit, Risk & Compliance
Service Line: IARCS
Manager - Audit Business Risk
Service Line: Audit
External Security Compliance Analyst
Service Line: CRLO
Manager - Climate Risk & Strategy - Transactional Services
Service Line: Transaction Services
Manager - Financial Services Audit
Service Line: Audit
Technology Risk Senior Manager - Financial Services
Service Line: RC Technology
KPMG's Internal Audit, Risk and Compliance Services (IARCS) practice within KPE National Markets is an area of the firm which continues to post tremendous growth, as evidenced by recent significant wins. It provides services relating to internal audit, internal control, corporate governance, risk management, SOx and related assurance and advisory projects. Our services to clients deliver added value through the use of modern control assessment, risk management and audit techniques focusing on strategic and operational risks, as well as financial management and reporting controls. We also work closely with other consulting teams through our Connected Consulting business of Risk and Regulatory Driven Transformation and our colleagues in Technology Risk and Cyber Risk to help ensure our clients receive the best possible advice and assurance.
Within IARCS, we have an opportunity for an Assistant Manager based in the National Markets team in Manchester.
As an Assistant Manager in IARCS there will be opportunities to work on a variety of engagements for our clients covering the spectrum of services that we provide including:
• Reviewing and establishing internal audit functions
• Assurance mapping
• Creating annual internal audit plans for clients
• Providing risk-based, internal audit services on both outsourced and co-sourced contractual basis
• Managing and directly delivering individual and/or a programme of internal audit projects which includes planning, review, quality assurance and reporting
• Working with clients’ in house internal audit functions to supply specialist or additional resource needed
• Process improvement projects
• Risk management, governance and internal audit advisory services
• Risk identification workshops and control reviews
• Delivering control and risk training
• Managing and reviewing internal control questionnaires
• Corporate governance reviews
• Assessing effectiveness of internal audit functions, audit committees and boards
• Sarbanes Oxley advisory services and delivery
• Working with members of other KPMG Consulting teams
• Secondments to clients to assist with specific projects
• Delivering specific advisory projects
• Business development, responding to RFPs, developing product propositions and proposal development
• Assisting management to retain responsibility for a UK-wide portfolio of clients, maintaining relationships with senior KPMG and client staff and is responsible for the financial performance and delivery of these accounts
• Demonstrating a detailed understanding of how current and emerging legal, regulatory, governance, risk management, auditing, accounting and financial reporting standards affect their clients
• Understanding and assisting managers to undertake KPMG's internal risk management and client engagement management procedures including client acceptance, continuance and engagement procedures
• Keeping up to date with all industry specific issues and circumstances which affect your clients
• Developing internal audit strategies which address all internal audit, client service and project management issues, in accordance with the KPMG internal audit methodology
• Delivering against those audit strategies
• Recognising where specialists are required and involving other KPMG staff, managing their input to the client
• Reviewing the audit evidence obtained ensuring it is sufficient in line with IIA Standards and KPMG methodology
• Conducting meetings with clients to explain internal audit findings and drafting and reviewing reports
• Reporting to partners/directors all salient points arising from assignments
• Assisting management to produce quarterly Audit Committee papers
• Assisting management to set budgets for engagements and monitoring delivery against the budget
• Ensuring work in progress is monitored and controlled with fees being raised promptly
• Identifying and exploiting additional fee billing possibilities
• Planning and allocating staff resources to fulfil business requirements
• Setting objectives with the team, and providing support and feeding back on performance
• Providing coaching and training to KPMG staff on risk management and internal audit methodology
• Identifying and developing new opportunities for KPMG to work with clients and targets
• Writing tender documents and presenting at proposals.
• Assisting partners in general business development.
• Event management – Assisting with the organisation of internal events for clients (e.g. internal audit breakfast sessions)
• Overseeing the preparation and dissemination of monthly thought leadership updates for clients
Qualifications / Skills / Experience:
• Qualified (IIA, CCAB, ICAEW or equivalent)
• Strong understanding of risks, processes and controls
• SOX testing experience would be beneficial
• Experience of being the main or secondary client contact for engagements and dealing with day to day interactions at FC / FD level (i.e. stakeholder management)
• Effective report writing
• Strong project management
Demonstrable commitment to developing career in governance, risk and advisory space within a high-performing professional services firm:
• Commercial awareness
• Solid interpersonal and facilitation skills
• Mobility / flexibility
• Drive and resilience
• Team player
• Curiosity and interest
• Client service mind-set
The Business Risk Manager supports the Head of Business Risk through a wide variety of projects and activities. The objective of the role is to help ensure that the Firm’s core risk policies are complied with by working closely with engagement teams and leadership teams across different business units. The audit landscape is changing, and for the Business Risk Function to continue to support the Business, the Risk Function needs to be proactive and not reactive to risk.
The Business Risk Function is embedded into the Audit Function and as such is an integral and important part of the audit function. As the risk environment evolves, due to changes in legislation and reporting standards, the current policies and processes will need to be aligned to those changes. In order to achieve this successfully the function works closely with other areas of the business such as Audit Risk Management, Central Risk, Office of General Counsel, Finance and Sentinel.
The role requires initiative and flexibility, suiting an efficient organiser.
The Manager will support the Head of Business Risk for Audit where the team will contribute to providing support to the Audit Function and the wider Audit Risk Management Function. This will include managing three Assistant Managers across the Audit Business Risk Function.
Risk MI and Risk Register – Assist the Head of Business Risk in:
• Contributing to the development, reporting and management of risk-related MI to support Audit and Risk leadership.
• Supporting Audit leadership in identifying risks and appropriate actions required to manage/bring back identified risks within risk appetites.
• Supporting the implementation and operation of strategic initiatives on portfolio management from commercial and/or risk perspectives.
• Providing risk updates and reports to the Head of Business Risk
Risk Operating System – Microsoft Dynamics (“MSD”)
• Managing the monthly and yearly data validation for audit
• Working with Firm-wide Ethics & Independence team to identify and resolve potential rotational breaches
• Managing the risk data within MSD, which will include identifying and rectifying risk errors
• To act as a Business Risk MSD Super User. You will be required to provide ongoing support, advice and training to engagement teams with regards to MSD engagement management set-up
• Management of data for monthly reporting which will include producing deliverables for both internal and external reviews to include Regulators
• Take ownership of the partner rotation process, working with Partners and Segment Heads. You will be required to identify potential regulatory breaches and escalate to the Head of Business Risk where appropriate
• Analysis and delivery of all Partner / Director succession planning
• Monitor the information currently held on the MSD system, ensuring that the information is set up correctly and challenge where appropriate
• Management of KGS as and when required
• Attend briefings and training sessions led by Central Audit Risk and communicate outputs back to the function
• Supporting and Advising Key Stakeholders of the Business as and when required
Annual Risk Review
• Supporting with output of the Annual Risk Review process in collaboration with Audit Risk
• Support the Head of Business Risk and leadership teams implement actions in response to findings from the Annual Risk Review process
• Supporting the Head of Business Risk with ad-hoc regulatory reporting
• Supporting the Head of Business Risk with requests from the Regulatory Affairs Department and responses to regulatory queries
• Management of non-financial sanctions
• Supporting requests for Regulatory Compliance Reviews which will include working with the audit teams to collate and analyse responses
• Record keeping of other regulatory requirements
• Management of Prudential Regulation Authority (“PRA”) and Financial Conduct Authority (“FCA”) resignation process
• Support the Head of Business Risk to manage the responses needed for the monthly risk analysis and Other Entity of Public Interest (“OEPI”) tools
• Provide responses to ad-hoc queries that arise from audit teams
• Continue to work on raising the profile of Business Risk across the Firm
• Review of Multi-Firm Engagement (“MFE”) arrangements and provide guidance to audit teams as and when needed
• Provide support with ad-hoc projects
• Managing risk consultations and approvals for audit engagement team in line with the Firm’s policies and procedures, working in collaboration with Audit Risk.
Stakeholder Interaction & challenges:
The role will include interactions with senior leadership across audit, risk and engagement teams
Impact, Risk, Accountability & Governance:
This is a role with impact across the Audit Capability Group where there is accountability for significant projects within audit risk management. It may include preparation of reports and risk registers for senior leadership
Experience and Background
— Awareness of the different types of service delivered out of audit firms
— Decision making around engagement acceptance
— Understanding and documenting policies, processes and controls, identifying weaknesses and making and implementing recommendations
— Identifying and reporting on trends in data
— Project management of multiple workstreams alongside unpredictable consultation workload
— Able to get to grips with technical content including law, regulation, assurance standards, contracts and policy and recommend how to apply to practical scenarios
— Confident in exploring opportunities with engagement leaders
— Awareness of the nature and effect of key clauses in professional services contracts
— Advanced Microsoft Office Skills – particularly Excel
— Experience of delivering a range of services at manager level or above within a professional services firm
— Experience of performing risk assessments, scoring risks and preparing risk registers
Qualifications and Skills
— Educated to a degree level
— Risk Management Qualification desirable
— Recognised accountancy qualification desirable
— CISI / ICA Qualified – Desirable
— Experience in a busy team environment
— Experience of Microsoft applications and SharePoint.
— Excellent attention to detail
— Accountability – use own initiative to provide effective support
— Drive and Resilience – time management and organisational skills
— Building Relationships – good communication skills (both written and oral)
— Problem Solving
— Flexibility – adaptable to changing situations
— Team management
— Team working
— Project management
— Experience of Microsoft Dynamics desirable but not essential
Role and Responsibilities
The External Security Compliance Analyst reports to the External Security Compliance Manager which is part of the Assurance & Remediation team, Information Assurance.
The External Security Compliance team play a key role in ensuring that KPMG meet their Client and Regulatory requirements through managing KPMG compliance with external certifications such as ISO27001, IPG and CE+, responding to client questionnaires and contract reviews, advising on Information Protection Plans, and project managing audits undertaken by clients on KPMG.as well as the firm wide controls and standards stipulated by KPMG Global and the UK firm; these are designed to meet Client and Regulatory requirements.
The Role requires close co-operation with many KPMG teams across the firms.
The responsibilities of the role include:
•Ensure KPMG certification and/or alignment to ISO27001, CE+, Key Controls and KPMGs Information Security Management Policies by providing support with audits and related preparation exercises.
•Provide support for client enquiries (questionnaires, follow-up meetings) by working with engagement teams, other areas of the firm as well as the clients to provide responses to such enquiries.
•Engage with engagement teams on enquiries regarding Information Protection Plans (IPPs) and liaising with the TISO (Technical Information Security Officer) where their approval is required.
•Provide support for client audit activities, including project management, liaising with areas of the business in scope for audit and other activities to ensure a smooth audit experience.
•Provide support to other areas of Assurance and Remediation as required.
•Provide input and guidance for KPMGs information security management policies.
The Person - Experience and Background
•Reasonable relevant experience working in an Information Security role.
•Good working knowledge of IT and Information Security controls.
•Good working knowledge of information Security standards (e.g. Cyber Essentials, ISF Standard of Good Practice for Information Security, ISO 27001, NIST Cybersecurity Framework, CIS Top 20 Controls).
•Experience in Data Protection and legal compliance.
•Risk Management knowledge and experience (desirable)
•Experience of producing and reviewing documentation including Policies, Standards, Contracts and Control frameworks (desirable).
•Working knowledge of techniques for planning, monitoring, data analysis and reporting.
•Experienced in a wide base of technology and toolsets.
•Ability to develop and leverage strong relationships with internal and external stakeholders.
•Self-motivated, working independently, managing own workload.
•Ethical, with the ability to remain impartial and report all non-compliances.
•Organisational skills with attention to detail.
•Flexible and willing to work within other Information Assurance teams.
Are you looking for an exciting career at the cutting edge of KPMG’s response to the global agenda on climate change?
Do you want to work in a lively and energetic environment where you will have the opportunity to shape a brand new proposition and advise on some of the biggest structural shifts the world has ever seen with a range of FTSE clients?
If so, then consider joining us in KPMG’s newly established Climate Risk & Decarbonisation Strategy team. Led by Simon Weaver and Bridget Beals, the Climate Risk and Decarbonisation Strategy team has been formed to help our clients respond to the immense challenges posed by climate change, assisting them to identify and quantify climate risks to their business to meet regulatory, investor and stakeholder demands; analyse and assess the range of mitigation and adaptation strategies available to them to mitigate the risks; implement the strategies; and, finally, embed the risk, strategy, targets and governance into financial reporting, helping to pave the way to a low carbon economy.
We have a vision for every Board to consider climate change in their Enterprise Risk Management. So far, we have focused on FTSE250 Boards with really positive results – we are already responding to several RFPs and are having bilateral conversations with respect to scopes of work with 5 other major listed corporates. This is hugely encouraging as we pursue our ambition of delivering £140m of profit with purpose for KPMG by 2025.
The successful candidates will work across multiple engagements managing the delivery of key outputs relating to the different facets of our proposition and shaping our future propositions.
We are looking for hires who can provide the perfect combination of passion, dynamism, enthusiasm, capability, accountability, and above all the ability to be a great team player.
Key responsibilities of the role include:
Managing and actively originating Climate Risk and Decarbonisation Strategy engagements by:
- Building and maintaining relationships with target clients and key market constituents
- Proactive and highly tangible sector mapping to identify targets and new opportunities
- Managing delivery of several engagements on a day to day basis and managing medium to large size projects or work streams
- Being responsible for the quality of deliverables produced, including qualitative and quantitative analysis as well as written and verbal advice
- Developing market intelligence and sector knowledge
- Effective management, coaching and mentoring of junior staff
- Ensuring internal and external compliance procedures are adhered to
- Developing the team culture and inspiring and empowering team members to be the best
- Any other duties commensurate with the role.
Please send your CV with a cover letter of no more than 2 pages explaining:
1. Why you want to work in Climate Risk & Decarbonisation Strategy
2. The skills you would bring to the team and why you think they are important for the team to have
3. Anything else you think is relevant to your application
KPMG is looking to consolidate its leading position within the Financial Services Audit sector by appointing talented and enthusiastic auditors into newly-created manager roles. This is a fast growing practise which is expected to grow further significantly in the next 3 to 5 years based on recent audit tender results. The department is made up of a large group of client facing staff delivering a range of audit and advisory engagements across a broad spectrum of clients.
Our Financial Services department in the South West Region delivers a range of audit and advisory engagements across a broad spectrum of clients. These clients include banks, building societies and insurance, leasing & investment management companies. The Department is spread across Bristol and Cardiff therefore, the successful candidates can be based in either location.
Our Bristol office is situated in Queen Square on a short walking distance from Temple Meads Station and is well placed for commuting by car or bicycle. Our staff work over 3 floors and the office has a lively cross-functional social scene. The office has the mix of working with big organisations whilst also maintaining that close-knit office environment. All offices have canteen facilities.
You will manage and deliver pensions audit engagements from planning through to completion. The role will require proficiency in UK GAAP and the Pensions SORP. You will have your own portfolio of clients with responsibility for agreeing audit timetables, working with Trustees and scheme administrators, briefing the audit team, including other specialists, monitoring budgets and supervising the KPMG audit process. This will include:
• To manage a portfolio of pensions audit engagements, overseeing in-charge and audit assistants work ensuring compliance with client, statutory and KPMG requirements, appreciating relevant internal and external market factors, ensuring the effective and timely delivery of high quality audit engagements
• Oversee and direct the budgeting, planning, co-ordination and control of engagements in accordance with client, statutory, KPMG and business requirements to ensure effective service delivery and maximised recoverability
• Providing coaching and guidance to both on- and off-shore staff working on your engagements
• Nurture and seek worthwhile relationships with clients, business departments and staff, for the sharing of information and to identify and progress current and future Audit requirements
• Contributes towards the creation, implementation and delivery of the Audit Business Plan and offer support in relation to issues identified as a result of organisational or client focus change
• Assist the Director in monitoring the effectiveness of Audit services delivered, providing feedback and reflection on the quality of service accordingly
• Preparation of reports to senior management and Trustee boards
• Assist with business development opportunities. This would involve initial meetings, preparing proposal documents and presenting at pitches.
There will be opportunity and encouragement for additional responsibilities outside this day to day role, such as assisting with pensions-specific training courses for in-charges and audit assistants, involvement in local client events and taking on a performance manager role.
• Leadership skills and ability to act as a role model
• Drive and resilience and ability to thrive in a pressured environment whilst working as a team with support from Partner, Directors, Senior Managers (where applicable) and in-charges
• Knowledge and experience of auditing and experience of systems/controls testing as well as substantive auditing including applying this to the pensions sector
• Well-developed supervisory skills e.g. coaching and motivation
• Project management techniques; this role will test and develop your expertise in decision-making, analytical skills, time management, organisation and evaluative skills
• Strong communication and inter-personal skills, both verbal and written
• Proven research skills e.g. information seeking and knowledge sharing, understanding and interpreting information/applying knowledge
• Well-developed understanding of the wider commercial background KPMG operates in demonstrating awareness of the issues facing our clients on a day to day basis
Qualifications and Skills
• Time and exam Qualified Accountant - ACA, ACCA or country equivalent
• Sound working knowledge of UK GAAP and the Pensions SORP
• IT literacy with sound knowledge and experience of Excel/Word
• Recent and significant experience as a Manager in an audit capacity within a top 10 accountancy firm
• Current experience of accounting and financial reporting standards including IFRS and UK standards
• Significant audit experience for pension schemes
The Financial Services Technology Risk Consulting team is focused on providing consultancy, advice and assurance on our clients' technology risks and controls. The market is evolving at pace and innovating, whilst embracing the digital age.
We are expanding our team to advise clients on emerging and legacy technology risks and controls due to the ever-increasing challenges that clients are faced with. The focus of the team is on project and programme risk, operational and technology resilience, technology risk and control, impact of regulatory change on data and technology and third-party risk management.
We deliver our work through consulting projects, focused on risk and control assurance, supporting teams across the 1st, 2nd and 3rd lines of defence.
KPMG are growing their FS Emerging Technology Risk team to meet an ever-increasing demand for our market leading services and are seeking IT management consultants with relevant expertise and experience. We are looking for an individual that has a passion for technology and has extensive experience of working in or assessing cloud environments to be part of the leadership team to support in building out the team and the business.
Joining KPMG means joining a talented team of exceptional colleagues who bring innovative thoughts and a natural curiosity to the work they do each day. No one type of person succeeds at KPMG; a diverse business requires diverse personalities, characters and perspectives. There really is a place for you here.
• Building constructive working relationships across different teams, functions, countries or cultures
• Developing lasting client relationships and actively building a network and range of experience to help address client needs
• Provide compelling and well thought out solutions to problems of moderate complexity
• Work with Partners, Directors and team in the Technology Risk and Control area - focused on IT control framework implementation and uplift, controls improvement and control automation
• Support in the hiring, coaching and development of the team.
• Quality assure work undertaken offshore or by junior members of staff
• Lead and deliver technology risk and control services to the Financial Services
• Support delivery of GRC solution implementations on client projects
• Work with the team to evolve technology risk and control frameworks, methodologies and tools
• Link into global and cross industry working groups to share knowledge
• Identify revenue-generating opportunities and get involved in business development activities such as proposal writing, pitch presentations
• Build and develop relationships with key internal and external contacts to embed technology risk and control into other propositions
• Develop a go to market approach and materials to support
• Create thought leadership and participate in market forums to enhance KPMG’s brand
• A collaborative team player who can bring others with them.
• Self-starter with a can-do attitude.
• Someone who is looking for an exciting and dynamic challenge, with an appetite and ambition to progress.
• Recognises the importance of continuous self and team development and actively strives to achieve this.
• Helps others to understand how their work contributes to the overall success of an engagement and the wider firm
• Fosters a sense of self belief and confidence in others
• Seeks to understand other motivations
• Supports others to make brave decisions
• Takes time to learn about other people and their experiences and how to apply this learning
• Demonstrates curiosity and open mindedness to new ideas approaches and perspectives
• Actively engages with others in order to address their views/concerns
Qualifications and Skills
• Proven experience of successfully delivering large IT risk and control projects or audit engagements either within a Big 4 firm or a large Financial Services Institution
• Recognised IT risk and control
• Experience in working in a risk and control / assurance environment
• Degree/masters qualification
• Recognised accounting / auditing (eg CISA) / risk qualification
Experience and Background
• A specialist understanding of IT risk and controls and impact on the business control environment
• Ability to identify and assess complex technology risks and controls, to relate them to the wider business environment and to express opinions clearly to all levels
• Strong understanding of FS sector – business processes / products / keys risks
• Ability to play an active role in the business development process
• Ability to present on specific subjects to a large group of people
• Strong analytical skills and ability to adapt to changing circumstances
• An aptitude for embracing and adapting to new technology
• Ability to spot opportunities to add value to clients and work with colleagues in other lines of service to help clients find solutions to the challenges they face
• Ability to work flexibly in terms of working hours to accommodate tight timelines and manage well under pressure
• Experience of managing business and IT stakeholders from across the business and all levels of seniority
• A good understanding of technology platforms
• Good knowledge of different operating systems, databases, networking, security concepts and technologies from an IT risk and controls perspective
• Strong leadership skills both on engagements and in an office environment
• Experience of working on tenders and large audit proposals
• Demonstrate professional scepticism - proven track record of compliance with quality standards and an ability to balance an efficient and compliant audit
• An aptitude for embracing and adapting to new technology
• A proven ability to manage and monitor engagement budgets and financial performance
• Experience of fee negotiations and negotiating scope changes with clients