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SOx and Financial Controls - Financial Services Consulting Manager

Date: Mar 26, 2021

Location: London, United Kingdom

Company: KPMG UK

KPMG’s Financial Risk Management practice within Banking an area of the firm which continues to show tremendous growth, as evidenced by recent significant wins. Part of our Risk and Regulatory Driven Transformation service offering, it provides client services over a broad range of financial risk. One core area of growth is Risk Assurance and specifically the opportunity in respect of financial controls (eg SOx) and related assurance and advisory projects. Our services to clients deliver added value through the use of modern control assessment, risk management and testing 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 and our colleagues in Technology Risk, Financial Transformation, Internal Audit and Cyber Risk to help ensure our clients receive the best possible advice and assurance.



We have an opportunity for a Manager based in the Banking team in London

Role and Responsibilities:

As a Manager there will be opportunities to work on a variety of engagements for FS clients and your role will involve:

i. 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, development of SOx/ICFR frameworks, testing plans, working papers, production of reports summarizing results, and other deliverables based on the specific engagement requirements.
ii. Serve as a coach and mentor and provide opportunities for on-the-job training for staff, as well as other team members.
iii. Work closely to develop and train our offshore team in SOx regulations and working practices
iv. Identify and clearly communicate issues and share best practices to client personnel and senior management.
v. Work with partners and directors to assist in practice management including resource allocation, career development of staff, and other administrative decisions.
vi. 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.
vii. 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
viii. Be responsible for risk management, financial management and other core administrative tasks in respect of engagements.

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
I. Experience in assurance, controls and / or corporate compliance-related experience, including consulting, auditing, risk management. Expertise can be in-house or in Industry. Experience should include performing external audits from the beginning of an engagement or project through completion or being part of a SOx404a assurance team in industry.
II. Experience of auditing or assuring banking (or boarder FS) processes such as credit, valuations, EIR, lending. Experience of US banks’ processes is desirable.
III. Knowledge of UK and US audit regulations
IV. Advanced problem solving and analytical skills with proven ability to use data effectively identify and resolve issues
V. Ability to identify deficiencies, observations and recommendations in respect of a wide range of financial processes
VI. 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
VII. Previous experience leading teams and managing projects, and accustomed to taking an active role in executing engagements
VIII. Preferably ACA qualified (or equivalent)

Experience
• Experience in evaluating Design and Operating Effectiveness under Internal Controls Framework, ICFR assessment, and 404 experience in a Banking, or other financial services environment.
• Prior experience in Consulting is desirable
• Prior experience with a Big 4 is desirable.


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