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FS SOX Director

Date: Jul 23, 2021

Location: London, United Kingdom

Company: KPMG UK

PMG’s Financial Risk Management practice within Banking is a strategic growth area for the firm. 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 transformation driven by UK Controls Framework (“UK SOX”). Our services to clients deliver added value through the design of optimal automated financial controls, 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 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.

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

Role and Responsibilities:

As a Director in FS FRM there will be opportunities to work on a variety of engagements for Banking and wider FS clients and your role will involve:
- Developing and maintaining relationships with senior management at clients (including C - suite level), to position the firm for opportunities to generate new busines
- Working as part of a cross-functional team to develop our go-to-market proposition. This will include sales and marketing, asset development and business development activities.
- Developing our UK Controls Framework practice – working as part of the core team of partner and directors building out the Controls Framework practice across FS. This will include internal marketing, development of collateral, recruitment and profile-raising activities.
- Leading and delivering large, complex Advisory Engagements (Sarbanes-Oxley assistance, Risk Assessments, Maturity Assessments) for clients including activities such as; Design and development of risk assessments, develop Target Operating Models and technical support for controls transformation engagements, deliver risk assurance engagements, and oversee quality of deliverables produced by teams across different disciplines.
- Leading a diverse team of skilled controls experts, developing talent and helping to grow the team.
- Developing and executing methodologies and solutions specific to UK requirements, including considerations around UK Controls Framework regulation in the context of the Brydon report.
- Acting as Control Framework technical lead and supporting on complex transformation projects and SOX-like implementations
- Handling engagement risk and definition of deliverable content to help to ensure buy-in of proposed solutions from top management levels
- Evaluating 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
- Managing the day-to-day interactions with client leadership
- Building the reputation of KPMG through the quality of work, knowledge and experience and acting as brand ambassador for the firm in professional interactions.

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
- Substantial experience of controls implementation or assurance – experience may be from industry, consulting, auditing, risk management, or operational roles
- Must have Financial Services expertise and ideally have had experience auditing, assuring or executing financial processes in banks such as valuations, credit, EIR. Broader technical expertise in respect of controls over complex financial models a benefit.
- Understanding of IFRS accounting framework is required and accounting qualification is preferable.
- Must be conversant with SEC and PCAOB rules/hot topics and have had first-hand experience with FS SEC registrants’ SOX programmes.
- Demonstrated 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 to 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
- Exceptional communication skills; both written and verbal
- Strong IT literacy, including Excel, PowerPoint and Word and SharePoint
- The desire to work in a diverse environment
- Monitors and upholds high quality of service to our engagements
Experience
- Experience in evaluating Design and Operating Effectiveness under SOX 404, ICFR assessment and either management attestation (404a) of audit experience (404b) is required
- Possesses and applies a relevant subject matter expertise for control frameworks ideally including Sarbanes-Oxley, UK Corporate Governance and technology
- Knowledge of GRC systems and ICOFR technology solutions
- Experience working in the US a benefit.
- Experience in building a business, including a history of successful business development and/or asset development.
- Experience of overseeing and leading a team and developing diverse talent.
- Demonstrates a broad range of client experience across banking and wider FS.
- 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, speaking engagements.
- Uses judgement in assessing risk in client assignments and consults where appropriate.


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