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Assistant Manager - Internal Audit, Risk & Compliance
Service Line: IARCS
Internal Audit Assistant Manager - Corporates
Service Line: IARCS
Internal Audit Senior Manager - Investment Management
Service Line: IARCS
Sustainability and Responsible Investment Senior Manager
Service Line: IARCS
IT Audit Assistant Manager - IT Risk Management (IRM Audit)
Service Line: Audit
KPMG's Internal Audit, Risk and Compliance Services (IARCS) practice within National Markets is an area of the firm with tremendous growth potential as proven by recent significant wins. It provides services relating to internal audit, internal control, corporate governance, risk management and related assurance and advisory projects. Clients are based in both the private and public sector and our services deliver added value to clients through the use of modern control assessment, risk management and audit techniques focusing on strategic, management and operational issues as well as financial management and reporting controls. We also work closely with other consulting teams including our colleagues in Technology Risk and Cyber Risk to 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 our London office Canary Wharf.
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 audit plans for clients
• Providing 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 client’s in house internal audit function 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
• Contract compliance audits
• Assessing effectiveness of internal audit functions, audit committees and boards
• Sarbanes Oxley advisory services and delivery
• Working with members of other KPMG advisory 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 and PSIAS Standards and KPMG methodology
• Conducting meetings with clients to explain 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
• Private, public sector and/or professional services experience
• SOX testing experience would be beneficial
• Experience overseeing and conducting fieldwork for internal audit, external quality assessments on internal audit functions and/or risk management engagements
• 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)
• Experience of managing subject matter in conducting audits for regulatory compliance and IT audits
• 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
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. It provides services relating to internal audit, internal control review, advisory projects and risk management. Clients are generally large corporates, including many of the world’s leading companies. Our services deliver added value to clients through the use of modern risk management and audit techniques focusing on strategic, management and operational issues as well as financial.
Within IARCS, we have an opportunity for an Assistant Manager based in the Corporates team in the London office. The role will be particularly attractive to those who have experience or knowledge of internal audit within a large corporate environment.
As an Assistant Manager in IARCS there will be opportunities to work on a variety of engagements covering the spectrum of services that we provide including:
· Reviewing and establishing internal audit functions
· Assurance mapping
· Creating annual audit plans for clients
· Providing 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 client’s in house internal audit function 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
· Contract compliance audits
· Assessing effectiveness of internal audit functions, audit committees and boards
· Sarbanes Oxley advisory services, delivery and testing
· Working with members of other KPMG advisory teams Secondments to clients to assist with specific projects
· Delivering specific advisory projects Business development
· Retaining management 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
· Undertaking 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 their clients
· Developing audit strategies which address all 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
· Reviewing the audit evidence obtained ensuring it is sufficient in line with IIA and PSIAS Standards and KPMG methodology
· Conducting meetings with clients to explain audit findings and drafting and reviewing reports
· Reporting to partners/directors all salient points arising from assignments
· Producing quarterly Audit Committee papers
· Setting budgets for engagement 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
· SOX testing experience is preferable and experience of SOX implementation projects would be highly beneficial. Ideally the candidate should have relevant up to date knowledge of SOX404 requirements.
· Qualified (IIA, CCAB, ICAEW or equivalent) . Accounting qualification is highly preferable due to the requirement for SOX testing experience
· Overseeing fieldwork for internal audit and/or risk management engagements.
· Experience of being the main client contact for engagements and dealing with day to day interactions at FC / FD level.
· Private sector and/or professional services experience within the corporate sector.
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. It provides services relating to Internal Audit, Internal Control review, advisory projects and risk management. Clients are based in both the private sector and our services deliver added value to clients through the use of modern risk management and audit techniques focusing on strategic, management and operational issues as well as financial.
The FS team is based nationally, but this role is to work in the dynamic, fast growing and supportive Insurance and Investment Management team, based in Canary Wharf, but also working on engagements at multiple client sites.
- Are you looking for an opportunity where you can play a leadership role in managing dynamic IA teams leveraging fellow SMEs skills and experience 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.
As a Senior Manager working in the Investment Management, 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;
- 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.
Responsibilities will include:
- Managing a portfolio of existing IA clients and developing relationships with key stakeholders.
- Supporting the partners/directors to prepare for business development meetings with target clients, attending those meetings and helping to manage the opportunities pipeline.
- 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 clients 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, including SOx testing, and audit programs including managing the input from subject matter experts before final quality assurance by partners/directors.
- 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.
- 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.
The successful candidate must be able to demonstrate having achieved the following:
- 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
- Industry and/or professional services experience within FS clients, especially Investment Management.
- 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.
The Sustainability and Responsible Investment (S&RI) team sits within KPMG’s Internal Audit, Risk and Compliance Services (IARCS) function.
We provide advisory and assurance services to a variety of corporate, national market and financial services clients.
As an area within KPMG experiencing significant growth, S&RI provides support across all of KPMG’s core sectors as well as developing and delivering service offerings aligned to various sustainability and ESG (environmental, social, governance) themes such as climate risk, circular economy, sustainability risk and assurance, sustainable finance and responsible investment.
The purpose of this role is to help design and deliver on the S&RI team strategy as part of ambitious growth plans to continue the expansion sustainability and responsible investment related services to corporate and financial services clients. As an experienced sustainability and ESG professional you will participate in identifying and helping to deliver new business opportunities for clients that are seeking to enhance their sustainability programmes. You will be given significant responsibilities and opportunity to contribute to exciting projects on advancing the integration of ESG in financial sector clients’ business and approaches to responsible investing. You will help drive the growth of both advisory and assurance related sustainability and non-financial reporting projects and be responsible for value-adding delivery to our clients. In this position you will work with KPMG’s sustainability professionals across the Global network.
As part of a strong growth path being experienced in S&RI services, we are looking to appoint a talented and enthusiastic Senior Manager to join a high performing, energetic team of KPMG professionals. As a senior member of the team, you will work closely with the Head of Sustainability and Responsible Investment and other managers to help identify business opportunities and convert these to new wins. You will also help lead the delivery of a portfolio of our largest, highest profile clients using your sector experience to deliver exceptional client service.
Your responsibilities will include:
‒ Helping to design, promote and deliver sustainability and responsible investment related campaigns across a variety of sustainability related themes such as: sustainability risk and assurance, green bond verification and assurance, sustainable finance and responsible investment, climate risk, circular economy
‒ Driving the S&RI assurance and advisory service lines, helping to deliver proposals and manage the delivery of engagements. ‒ Supervising, mentoring, and coaching junior staff including promoting quality
‒ Managing team and director involvement on engagements, providing progress reports as required
‒ Helping to lead client relationships and ensuring consistent, high quality of engagement delivery
‒ Budgeting and monitoring the financial performance of engagements in line with agreed parameters
‒ Regularly and proactively communicating with senior clients on relevant industry matters ‒ Keeping up to date with KPMG's product and service offerings and identifying the sales opportunities that will help us grow our business
‒ Establishing and maintaining strong internal and external networks within the industry
‒ Communicating with clients and subject matter experts on technical matters relevant to sustainably and responsible investment
‒ Actively driving the planning of the team strategy
‒ Drive the firm’s strategic initiatives
‒ Performance manager for other members of the team to help them reach their full potential
- Building the reputation of KPMG through the quality of work, knowledge and experience relevant to the industry
You will have the willingness and commitment to lead our clients towards improved profitability and positive change. You are an open-minded team player with ability to lead people and to build a professional network. You are working efficiently, are productive and have the ability to deliver projects, even under tight time constraints. You will have the following experience:
- Significant experience in a sustainability/environmental/responsible investment related consultancy field, including experience of delivering sustainability advisory and/or assurance engagements for global FTSE 100 clients.
- Extensive sustainability and responsible investment experience across a wide range of industry sectors - Proven ability to identify and pursue business opportunities whilst maintaining a solution mind-set
- Maintaining an awareness of specific industry issues in relation to ESG e.g. rising fuel prices, circular economy, human rights, water and waste management, etc. and their impact on asset owners, asset managers and investee companies.
- Maintaining awareness of emerging reporting/legislative requirements (e.g. Task Force for Climate-related Financial Disclosures, SECR, (Companies Act 2006). Providing advice to clients on how they can best prepare for upcoming changes.
- Audit planning and delivery performed in accordance with ISAE 3000 and 3410 and the firm’s quality standards.
The Team – National Markets IRM
The IRM team is an integral part of our rapidly growing National Markets Audit practice. Whilst the IRM team sits within our Audit practice, we work closely with a multi-disciplinary Consulting practice to deliver a comprehensive range of services that our clients demand. Our IRM specialists deliver four key proposition to our clients:
- The use of technology in the External Audit.
- Assurance of technology through Internal Audit.
- Attestation over the use of technology at third parties.
- Advice on the management of technology risk
Our core client base is predominantly within financial services and large corporates, but we are increasingly finding that our specialist skills are needed by firms in other industries like Health and Public Sector. Through one of our key propositions External Audit, we evaluate the design and operational effectiveness of technology controls and assess how they may present a risk of financial misstatement. We work closely with specialist financial auditors, working as one team to deliver this type of work.
Our clients need to deal effectively with their operational risks, to achieve maximum value from their technology, data and processes and our IRM specialists provide independent, jargon-free advice to help them achieve this potential. We also work closely with Consulting teams, for example cyber security specialists, digital experts and technology strategists to ensure our clients receive the best possible advice.
The team works in an agile and flexible manner, with plenty of opportunities to develop new skills and gain new knowledge. We are keen to support and develop our people to enable them to be the best they can be.
- Delivering value added assurance services to clients.
- Conducting fieldwork and managing and supervising small project teams in delivery of assurance assignments.
- Assisting with scoping, internal financial management, managing delivery risk, production and initial review of deliverables. Building and managing client relationships across a number of clients.
- Actively identifying and progressing business development opportunities, as well as managing sales activities such as proposal development and assisting with client presentations.
- Developing internal networks and maintaining relationships with colleagues across other teams within KPMG.
- Coaching and developing more junior team members on engagements.
- Contributing to practice management, e.g. knowledge sharing, training, proposition development, and knowledge management.
We expect that you will have:
- Proven experience in a technology risk and control / audit environment within professional services or an internal audit / risk function.
- Excellent communication skills and report writing skills.
- Ability to develop excellent relationships both internally and with clients.
- Capacity to deliver work within tight timescales to a high quality.
- Undergraduate Degree, ideally, in technology, business, or related field.
It would also be useful (but not a deal-breaker) if you have:
- Experience of business analysis and core business processes, for example, transaction processing, system development ledger systems.
- Experience within the financial services and/or corporates sector(s) and knowledge of systems and processes used within them.
- Experience in identifying and assessing complex IT risks and controls, to relate them to the wider business environment and to express opinions clearly at all levels.
- A good understanding of technology platforms.
- Recognised accounting / auditing (e.g. ACA, CIMA, CISA) qualification, or working towards this qualification.