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SOX Senior Manager

Date: Apr 29, 2021

Location: London, United Kingdom

Company: KPMG UK

Roles and Responsibilities

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

Develop and maintain relationships with senior management at clients, to position the firm for opportunities to generate new business

Be part of wider sales and marketing, asset development and business development activities.

Develop our UK Controls Framework practice – oversee junior team members, on board new joiners, help design and deliver trainings, act as appraisal manager and be a role model to others in the team

Deliver large, complex Advisory Engagements (controls 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.

Be a senior team member in a diverse team of skilled controls experts. Develop talent and help to grow the team.

Develop and execute methodologies and solutions specific to UK requirements including considerations UK Controls Framework regulation in the context of the Brydon report.

Act as Control Framework technical lead and support on complex transformation projects and Sox-like implementations

Handle engagement risk and definition of deliverable content to help to ensure buy-in of proposed solutions from top management levels

Evaluate 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

Manage the day-to-day interactions with clients on the ground and be able to confidently deal with more senior Management at our client

Build the reputation of KPMG through the quality of work, knowledge and experience.

Qualifications and Skills

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:


Minimum seven years of 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 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

Experience overseeing budgets and managing financials

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 and Background
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.

Demonstrate 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.

Awareness of key requirements regulatory authorities/industry bodies and experience in dealing with such 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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