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SOX Transformation Manager - Internal Audit, Risk & Compliance

Location: London

Service Line: IARCS

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Experienced Professional

Internal Audit Manager – Financial Services - Asset Management

Location: London

Service Line: IARCS

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Experienced Professional

SOX Director, IARCS - Corporates Risk Consulting

Location: London

Service Line: IARCS

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Experienced Professional

Risk Compliance Administrator

Location: London

Service Line: CRLO

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Experienced Professional

Internal Audit Assistant Manager – Insurance

Location: London

Service Line: IARCS

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Experienced Professional

Manager - Audit Business Risk

Location: London

Service Line: Audit

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SOX Transformation Manager - Internal Audit, Risk & Compliance

Location: London

Capability: Risk Consulting

Service line: IARCS

Experience level: Manager

Employment type: Full Time


KPMG's Internal Audit, Risk and Compliance Services (IARCS) practice within Corporates 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 a Manager based in the Corporates team in London


Role and Responsibilities:

As an Manager in Corporates IARCS there will be opportunities to work on a variety of engagements for Corporate clients and your role will involve:

- Drive and lead the day-to-day execution of Advisory Engagements (Sarbanes-Oxley assistance, Risk Assessments, Maturity Assessments, Internal Controls Diagnostics Reviews) for clients, including activities such as; Design and development of risk assessments, annual assurance plans, working papers, development of assurance reports to provide summarised testing results, and other deliverables based on the specific engagement requirements.
- Serve as a coach and mentor and provide opportunities for on-the-job training for staff, as well as other team members.
- Identify and clearly communicate performance improvement opportunities and leading practices to client personnel and senior management.
- Work with partners and directors to assist in practice management including resource allocation, career development of staff, and other administrative decisions.
- Support KPMG thought leadership communications by sharing and participating in the development and publication of best practice and thought leadership papers, including development of new service offerings and benchmarking.
- Develop and maintain a positive, productive, collaborative professional relationship with the client and engagement or project teams to provide well-coordinated and consistent high performance results


Skills, Qualification & Experience:

At KPMG, we think our people really stand out from the crowd. We are looking for equally exceptional people to join us, with the following skills and characteristics:


Qualifications

- Strong experience in assurance, controls and / or corporate compliance-related experience, including consulting, auditing, risk management, and experience should include performing internal or external audits from the beginning of an engagement or project through completion
- Advanced problem solving and analytical skills with proven ability to use data effectively identify and resolve issues
- Ability to identify observations and recommendations for business operations and control issues in correlation with key risk disciplines (including financial reporting, regulatory, and operational)
- Advanced risk, controls, accounting and / or information technology operations knowledge, as well as command of Generally Accepted Accounting Principles, SOX, Committee of Sponsoring Organizations and/or Control Objectives for Information and related Technology control framework
- Previous experience leading teams and managing projects, and accustomed to taking an active role in executing engagements


Experience

- Experience in evaluating Design and Operating Effectiveness under Internal Controls Framework, ICFR assessment, and Internal Audit experience in the relevant sector.
- Prior experience in Consulting is required.
- Prior experience with a Big 4 is desirable.

Internal Audit Manager – Financial Services - Asset Management

Location: London

Capability: Risk Consulting

Service line: IARCS

Experience level: Manager

Employment type: Either Full Time Or Part Time


KPMG's Internal Audit, Risk and Compliance Services (IARCS) practice is an area of the firm with tremendous growth potential as proven by recent significant wins. The FS team is based nationally and covers all elements of the FS industry (Banking, Insurance and Wealth and Asset Management).

- Are you looking for an opportunity where you can play a leadership role in managing dynamic IA teams leveraging Subject Matter Experts in order make a real value adding client impact?
- Do you want to have your voice heard at IA forums and coach individuals in the team to achieve their full potential and deliver quality services?
- Do you want to help build meaningful trusted relationships with top tier FS clients?

If so, this is a great opportunity for an individual to be involved in managing the team and supporting business development through building meaningful trusted relationships with clients.

Areas of Work
As a Manager working in the Financial Services team, you will be developing client relationships and supporting business development initiatives and supporting partners/directors to lead a variety of IA engagements covering the spectrum of services that we provide including:
- reviewing and helping to establish internal audit functions;
- creating audit plans;
- delivery of individual and/or a programme of internal audit projects;
- partnering with clients to supply specialist SME resource;
- designing and implementing SoX compliant controls frameworks, including managing and directing juniors to conduct detailed testing of such controls;
- secondments to IA functions to help deliver audits and run those functions;
- performing external assessments of internal audit functions; and
- supporting the delivery of training to IA teams on regulatory themes, IA, thought leadership and industry hot topics.

The Role
As a Manager in FS IARCS this role will involve:
- Supporting the partners/directors in the delivery of internal audit outsource/ co-source/SOx framework design and controls testing or External Quality Assessments for FS Clients.
- Leading engagement teams in the full portfolio of engagement management activities from client acceptance, risk management and engagement financial management.
- Collaboration with a number of firm-wide subject matter experts providing assurance to clients on emerging risk areas.
- Acting as a coach to members of the team and helping with the development of the team as a whole.
- Supporting partners/directors to identify and develop new client relationships.
- Actively participating in and supporting the partners/directors in business development activity including the development of proposals and presenting to client selection panels.
- Assisting with building new client relationships through attendance at both internally hosted and external events.
The Responsibilities
The key responsibilities of this role will include:
- Managing a portfolio of existing IA clients, leading engagement delivery and developing relationships with key stakeholders.
- Setting, managing and monitoring engagement risks, budgets and profitability, including identifying additional revenue opportunities. Forecasting and reporting on client engagements.
- Coaching, supporting and managing staff performance providing open and honest feedback.
- Understanding clients’ IA needs and highlighting further work opportunities to client service teams and assisting in the development of compelling proposals/solutions to support new business initiatives.
- Attending key client meetings (i.e. planning and risk assessments, Audit Committee etc.) with senior auditees/stakeholders.
- Reviewing key client deliverables such as IA/SoX controls reports, working papers, and audit programs including managing the input from subject matter experts before final quality assurance by partners/directors.
- Supporting the partners/directors to prepare for business development meetings with target clients, attending those meetings and helping to manage the opportunities pipeline.
- Sharing knowledge and insights on current and emerging FS and IA best practice, issues and trends.
- Supporting the provision of advice to a range of clients on auditor independence rules and risk management practices in the context of providing IA services.
- Support partners/directors in the development of a multi-disciplinary network across KPMG’s service lines and contributing to any cross-selling opportunities.
- Demonstrating a detailed understanding of how current and emerging legal, regulatory, governance, risk management, auditing, accounting and financial reporting standards affect clients.
- Identifying and developing new opportunities for KPMG to work with clients and targets.
- Drafting initial response for proposal documents and presenting at proposals.

The Person
- Individuals would have ideally achieved an accountancy qualification including but not limited to ACA, ACCA, IIA, CCAB. We will also consider other suitable Internal Audit qualifications.
- Significant Internal Audit and/or Risk Management experience, including experience of co-ordinating teams delivering audits and management of annual planning processes.
- SoX design, implementation and testing experience would be beneficial.
- Industry and/or professional services experience within FS clients, - Strong presentation skills and the ability to facilitate workshops both internally and externally.
- Outstanding communication skills and experience of dealing with senior stakeholders
- Proven ability to build strong, long lasting client relationships.
- Strong project and people management skills.

SOX Director, IARCS - Corporates Risk Consulting

Location: London

Capability: Risk Consulting

Service line: IARCS

Experience level: Director

Employment type: Either Full Time Or Part Time


KPMG's Internal Audit, Risk and Compliance Services (IARCS) practice within Corporates Consulting 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 a Director based in the Corporates team in London


Role and Responsibilities:

As a Director in Corporates IARCS there will be opportunities to work on a variety of engagements for Corporate clients and your role will:



Manage and deliver large, complex of Advisory Engagements (internal audit engagements, Sarbanes-Oxley assistance, Risk Assessments, Maturity Assessments) for clients including activities such as; Design and development of risk assessments, Target Operating Models, support controls transformation engagements, deliver risk assurance engagements and oversee quality of deliverables produced by teams across different disciplines.

Develop and execute methodologies and solutions specific to UK requirements, including considerations to UK SOX regulation in the context of the Brydon report.

Handle engagement risk and define of deliverable content to help to ensure buy-in of proposed solutions from top management levels

Develop and maintain relationships with senior management within clients (including C - suite level), to position the firm for opportunities to generate new business

Evaluate projects from a technical stance, helping to evaluate risks related to requirements management, business process definition, testing processes, internal controls, project communications, training, and organizational change management

Manage the day-to-day interactions with client leadership


Skills, Qualification & Experience:

At KPMG, we think our people really stand out from the crowd. We are looking for equally exceptional people to join us with the following skills and characteristics:



Skills & Qualifications


Substantial, demonstrable experience of Assurance, controls and/or corporate compliance, including consulting, auditing, risk management, or operational roles.

Demonstrable ability to identify business opportunities, lead project engagements, attract new business and build lasting professional relationships with senior client executives

Relevant experience in project management and the full life-cycle of a project

Advanced problem solving and analytical skills with proven ability to use data effectively to identify and resolve issues

Ability to provide observations and recommendations for business operations and controls issues in correlation with key risk disciplines (including financial reporting, regulatory, and operational)

Advanced risk, controls, accounting and/or information technology operations knowledge, as well as command of Generally Accepted Accounting Principles, SOX, Committee of Sponsoring Organizations and/or Control Objectives for Information and related Technology control framework

Previous experience leading teams and managing projects, accustomed to taking an active role in executing engagements

Exceptional communication skills; both written and verbal

Strong IT literacy, including Excel, PowerPoint, Word and SharePoint.

The desire to work in a diverse environment

Builds the reputation of KPMG through the quality of work, knowledge and experience

Monitors and upholds a high quality of service to our engagements


Experience


Experience in evaluating Design and Operating Effectiveness under SOX 404, ICFR assessment and Internal Audit.

Possesses and applies a relevant subject matter expertise for control frameworks preferably Sarbanes-Oxley, UK Corporate Governance and technology.

Can demonstrate a broad range of client experience across industries.

Anticipates changes to policy, laws and regulations (including accounting regulations) and provides advice on the impact/implications for clients.

Understands and applies knowledge of innovative solutions.

Develops and co-ordinates appropriate relationships with regulatory authorities/industry bodies.

Builds relationships and establishes visibility as an SME through participation in professional associations, networks, publishing articles or speaking engagements.

Uses judgement in assessing risk in client assignments and consults where appropriate.


Risk Compliance Administrator

Location: London

Capability: KPMG Business Services

Service line: CRLO

Experience level: Junior Professional

Employment type: Either Full Time Or Part Time


Summary of Role Purpose:
This role is a core part of delivering our Trust and Growth strategy for Consulting. The Consulting QRM team forms part of our first line of defence, helping to ensure our risk and quality processes are effectively implemented. We support our client facing colleagues to ensure that projects we undertake do not put the firm at risk or undermine our reputation.

Description of the role:
This role is responsible for assisting with the delivery of the Consulting Quality Performance Review programme, KPMG’s globally mandated review of all engagement leaders.
The successful candidate will play a key part in Consulting’s quality control system and will work closely with the Risk Compliance Manager to ensure that the programme is administrated in an organised, structured manner and that communication to key stakeholders is clear and accurate.

Responsibilities include:

— Logistics and project management: Setting up training sessions, organising reviewers for all cycles, sending out notifications, organising file access.
— Regular communication with Engagement Leaders and Managers being reviewed.
— Communication of review findings and results.
— Management of the QPR mailbox and the central Consulting QRM mailbox.
— Responding to queries and directing them to other members of the team as required.
— Generating reporting on Consulting accreditations.

Role dimensions
Leadership & Management:
The role involves the management of project/programme logistics and administration.

Stakeholder Interaction & challenges:
The role requires communication with and management of a wide range of senior stakeholders. This includes the UK Consulting Engagement Leaders, UK QRM and Global roles such as the UK’s external lead reviewer.

Impact, Risk, Accountability & Governance:
The role is an essential part of our Quality Control Framework. The role covers the entirety of Consulting and directly inputs into the Advisory QPR programme.

The Person

Essential
— Administrative experience with awareness of project management principles.
Desirable
— Compliance, controls testing or internal audit experience
— Risk management experience
— Understanding of risk management policies
— Strong written English skills
— Effective communicator
— Demonstrates attention to detail
— Organised, systematic approach
— Ability to learn new policies and apply consistently

Internal Audit Assistant Manager – Insurance

Location: London

Capability: Risk Consulting

Service line: IARCS

Experience level: Associate/Assistant Manager

Employment type: Either Full Time Or Part Time


KPMG's Internal Audit, Risk and Compliance Services (IARCS) practice is an area of the firm with tremendous growth potential as proven by recent significant wins. The FS team is based nationally and covers all elements of the FS industry (Banking, Insurance and Wealth and Asset Management).

- Are you looking for an opportunity where you can play a leadership role a dynamic IA team leveraging Subject Matter Experts in order make a real value adding client impact?
- Do you want to have your voice heard at IA forums and coach individuals in the team to achieve their full potential and deliver quality services?
- Do you want to help build meaningful trusted relationships with top tier FS clients?
If so, this is a great opportunity for an individual to be involved in the team and supporting business development through building meaningful trusted relationships with clients.

Areas of Work
As an Assistant Manager working in the Financial Services team, you will be developing client relationships and supporting delivery of Internal Audit engagements as a key member of our client centric delivery teams. You will be responsible for delivery of engagements covering the spectrum of services that we provide including:
- reviewing and helping to establish internal audit functions;
- creating audit plans;
- delivery of individual and/or a programme of internal audit projects;
- partnering with clients to supply specialist SME resource;
- designing and implementing SoX compliant controls frameworks, including managing and directing juniors to conduct detailed testing of such controls;
- secondments to IA functions to help deliver audits and run those functions;
- performing external assessments of internal audit functions; and
- supporting the delivery of training to IA teams on regulatory themes, IA, thought leadership and industry hot topics.

The Role
As an Assistant Manager in FS IARCS there will be opportunities to work on a variety of engagements for FS clients and your role will involve:
- Supporting the partners/directors in the delivery of internal audit outsource/ co-source/SoX framework design and controls testing or External Quality Assessments for FS Clients.
- Supporting engagement teams in the full portfolio of engagement management activities from client acceptance, risk management and engagement financial management.
- Collaboration with a number of firm-wide subject matter experts providing assurance to clients on emerging risk areas.
- Acting as a coach to members of the team and helping with the development of the team as a whole.
- Supporting partners/directors to identify and develop new client relationships.
- Actively participating in and supporting the partners/directors in business development activity including the development of proposals and presenting to client selection panels.
- Assisting with building new client relationships through attendance at both internally hosted and external events.

Responsibilities
The key responsibilities of this role will include:
- Developing internal audit strategies which address all internal audit, client service and project management issues, in accordance with the KPMG internal audit methodology
- Recognising where specialists are required and involving other KPMG staff, managing their input to the client
- Leading delivery on Internal Audit engagements for a portfolio of existing IA clients, taking engagement risk and profitability into consideration.
- Developing relationships with key stakeholders.
- Keeping up to date with industry specific issues and circumstances which affect your clients
- Conducting meetings with clients to explain audit findings and drafting and reviewing reports
- Reporting to partners/directors all salient points arising from assignments
- Attending key client meetings (i.e. planning and risk assessments, Audit Committee etc.) with senior auditees/stakeholders.
- Developing key client deliverables such as IA/SoX controls reports, working papers, and audit programs including managing the input from subject matter experts before final quality assurance by partners/directors.
- Monitoring engagement risks, budgets and profitability, including identifying additional revenue opportunities. Supporting engagement managers with forecasting and reporting on client engagements.
- Supporting the partners/directors to prepare for business development meetings with target clients, attending those meetings and helping to manage the opportunities pipeline.

The Person
- Individuals would have ideally achieved an accountancy qualification including but not limited to ACA, ACCA, IIA, CCAB. We will also consider other suitable Internal Audit qualifications.
- Internal Audit and/or Risk Management experience.
- SoX design, implementation and testing experience would be beneficial.
- Industry and/or professional services experience within FS clients.
- Strong presentation skills and the ability to facilitate workshops both internally and externally.
- Outstanding communication skills and experience of dealing with senior stakeholders.
- Proven ability to build strong, long lasting client relationships.
- Strong project and people management skills.

Manager - Audit Business Risk

Location: London

Capability: Audit

Service line: Audit

Experience level: Manager

Employment type: Full Time


Roles and Responsibilities

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

Regulatory Reporting:

• 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

Ad Hoc:

• 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

Essential
— 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


Desirable
— 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
— Negotiation
— Experience of Microsoft Dynamics desirable but not essential

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