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Internal Controls and Corporate Governance - Assistant Manager - SOX

Date: Sep 7, 2021

Location: London, United Kingdom

Company: KPMG UK

The role will sit within the GRCS team and support the newly formed UK Corporate Governance Reform team which brings together several of our Consulting service lines to build a market leading Controls Framework offering for our Clients. The new offering will work with Clients to strengthen their internal governance and controls environment taking them beyond compliance and positioning internal controls at the centre of business transformation to drive operating efficiency and effectiveness

The role
You will work within the UK Corporate Governance Reform team to achieve the following outcomes:
• Delivery of corporate governance and internal control transformation programmes for clients: working with engagement teams on Client projects to deliver projects which change the way our Clients run their business
• Development of corporate governance reform offering: support with the build of KPMG specific methodology and intellectual property to bring our Controls Framework proposition to the market
• Responding to RFPs and bids for client projects: working with bid teams to showcase KPMG’s capabilities and response to a Client challenge

Daily tasks are expected to include:
• Perform Internal Controls Framework Audits, Internal Controls over Financial Reporting (ICOFR) assessments, Internal Audits: Conducting Tests of Design and Test of Operating Effectiveness of controls
• Review and develop client's custom Risk & Control Matrices to ensure alignment of test procedures and control language to enhance efficiencies in remote execution of test procedures
• Support client service delivery by consistently meeting quality guidelines within the established turnaround times (or allotted budget) for assigned requests
• Direct client interaction, wherever required
• Draft Process Documentation/Flowcharts and creating SOP’s
• Guide / coach Executives on Test of Operating Effectiveness
• Continuously refresh and acquire knowledge around financial services sector rules, regulations, best practices, tools, techniques
• Support offshore colleagues with project management responsibilities, in terms to tracking status, quality and time
• Supervise, coach and review the work performed by associates and interns on the assigned engagements
• Serve as a liaison between client representatives and KPMG management to develop and deliver detailed activities as part of the fieldwork
• Design controls on operating procedures to meet leading practice Internal Controls over Financial Reporting (ICOFR) principles
• Plan and execute the day-to-day activities to deliver testing as part of ICOFR assessments, lead tests of design and test of operating effectiveness of controls
• Identify and communicate findings arising from the testing results to senior management within the team and external stakeholders
• Help identify performance improvement opportunities for assigned clients

Skills, qualifications, and experience
Successful candidates should be able to demonstrate:
• 3 years or more experience in internal or external audit, internal controls, risk assessment/management, regulatory compliance or governance with either a leading company or within a consulting environment
• Experience in evaluating Design and Operating Effectiveness under Internal Controls Framework, ICFR assessment, and Internal Audit experience in the relevant sector
• Strong leadership and communication skills, technical knowledge, and the ability to write at a publication quality level in order to communicate findings and recommendations to the client's senior management team
• Ability to identify observations and recommendations for business operations and control issues associated with key risk disciplines (including financial reporting, regulatory, and operational)
• Experience managing internal and external stakeholders, including management level colleagues
• Strong ability to organise and prioritise your own work and that of others to meet project requirements
• Experience with project management principles
• Good communicator with the ability to build strong and lasting relationships
• Proven track record of delivering high quality outputs, on time and meeting/exceeding expectations
• Evidence of being an active listener, strong team player and willingness to develop new skills and capabilities
• Strong PowerPoint, Excel and Word skills
• An understanding of issues and challenges UK listed companies are facing in the Corporate Governance area and an awareness of the Government’s strategy is desirable but not essential
• Prior experience within Consulting is required with prior Big 4 experience desirable

The person
• Recognises the importance of continuous self and team development and actively strives to achieve this
• Evidence of being an active listener, strong team player and willingness to develop new skills and capabilities
• Helps others to understand how their work contributes to the overall success of an engagement and the wider firm
• Seeks to understand others’ motivations
• Supports others to make brave decisions


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