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Regulatory (KYC) & Quality Assurance - Senior Manager - Leeds/Glasgow

Date: Nov 5, 2020

Location: Glasgow, United Kingdom

Company: KPMG UK

The Role

Role & Responsibilities

On-going engagements: oversight and leadership of a number of SME Leads across various engagements. This includes:

• Coaching and guidance to SME Leads
• Attraction and retention of SME Leads for individual engagements
• Acting as an escalation point to Clients where senior input is required/expected or Client concerns over quality raised
• Oversight of Quality Framework execution to ensure it is effectively deployed within operational environment and effective embedding of quality
• Oversight of effective SME Toolkit deployment
• Identifying and implementing best practice and consistent ways of working in conjunction with Head of Operations and peers
• Delivering quality outcomes through consistent application of Quality Framework, SME Toolkit and application of best practices across all engagements

New engagements: oversight and leadership of SMEs. This includes:

• Team set up for discovery and mobilisation stages of newly won engagements
• Development of deliverables related to regulatory and quality output specific to the new engagement
• Leading policy and procedures workstreams with the view to efficient and effective operationalisation
• Working with the process and operations to ensure Client policies and procedures embed in the Operation
• Collaboration with internal regulatory teams to facilitate best discovery and mobilisation approach for specific Client engagement

Business development and building Client confidence

• Delivering Client pitches focused on Quality Framework and its effective deployment in Managed Services operations as a unique selling point
• Ability to present Managed Services offering, which combines operational excellence and regulatory compliance leading to a compelling Client solution, during Client meeting in an impactful way

The ability to engage, communicate and inspire confidence in leadership together with strong people management skills and experience are therefore essential, with a demonstrable track record of having successfully led a team delivering quality output in an operational environment.

The candidate must be able to demonstrate the soft skills required to effectively embed quality in an operational environment by having the technical KYC expertise and being able to bring this to life for a non-SME audience. This entails being able to support and coach, clarify understanding and use tools and techniques to embed effectively to increase a depth of knowledge within the KYC environment.

The role will require leadership across several engagements and internal functions, so the ability to proactively build and maintain strong internal strategic networks will be key to the success of the role.
This is a role for an experienced senior manager, providing the opportunity to contribute to the growth of this business in a key influencing position. The role includes direct support to the Head of UK Operations to provide extra bandwidth at a senior level.


• Work closely with Peers and the Head of UK Operations to ensure all new engagements are established effectively and that once in run, are delivered in accordance with the agreed standards
• Ensure that Managed Services principles and standards are applied across all engagements to deliver successful and well-controlled outcomes
• Deal with growth and expansion as per capacity plan leading the activity in liaison with Head of UK Operations, Operations Support and KGS
• Ensure the engagements are resourced with sufficient well trained and well-motivated staff and that staff are developed to their potential in line with current and predicted operational needs
• Conduct SME and quality reviews of existing operations (both on Client site and internally to KPMG), leveraging operational expertise to consult and identify potential process improvements
• Act as first point of escalation for client relationship activities and provide input, preparation and support to contractual Service Reviews or SLT reporting as appropriate
• Maintenance of Service Levels in operations owned, ensuring a high level of customer service at all times.
• Identify and diagnose sub-optimal business performance
• Ensure appropriate risk controls are in place so that items such as potential risk to the company arising from money laundering and fraud, is minimised
• Actively protecting the client’s interest at all times in complying with statutory regulations and legislation
• Reporting of issues of concern to Operations Support, Senior Leadership, and where appropriate, to the client
• Initiate and promote improvements to processes and techniques to achieve higher levels of efficiency and effectiveness and to maximise productivity gains
• Aim to operate at industry best practice level, where available
• Maintain control over agreed budgets, demonstrating due care and diligence in exercising mandates within authority as agreed with client or Head of UK Ops
• Work collaboratively with peers (other oversight managers) to share best practice and embed consistent ways of working

The Person

Skills, Qualifications & Experience


• Extensive proven experience in an operations environment including demonstrable experience at management level within Financial Services
• KYC/AML/CDD knowledge and experience at an in-depth level
• Remediation experience gained within a Managed Services/outsourced services environment


• Budgeting, forecasting and planning experience in an operational environment
• Full working knowledge of regulatory landscape in terms of anti-money laundering measures and other relevant legislation, procedures and processes


• Excellent people management skills
• Strong communication and relationship management skills
• Strong analytical and problem-solving skills and the ability to use information to generate creative solutions to benefit the business
• Strong project management skills
• Commercial Awareness
• Strong presentation skills
• Strong focus on results-led management
• Planning & Organising

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