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Case Assessment Senior Analyst, Client Due Diligence–Client Acceptence

Date: Jan 28, 2019

Location: Watford, United Kingdom

Company: KPMG UK

AutoReq ID141031BR
Job TitleCase Assessment Senior Analyst, Client Due Diligence–Client Acceptence
CountryUnited Kingdom
LocationWatford
FunctionKPMG Business Services
Service LineQRM
Service Line InformationQuality and Risk Management are the responsibility of each partner and employee. This responsibility includes the need to understand and adhere to member firm policies and associated procedures in carrying out their day-to-day activities. UK Quality & Risk Management teams help to set, implement and enforce policies and procedures designed to help to enable KPMG UK and its personnel to achieve the following key objectives: (i) oversee and monitor service quality, (ii) protect the brand and reputation of KPMG, (iii) comply with laws, (iv) regulations and professional standards, and (v) minimize the risk of financial claims against KPMG UK.

KPMG OverviewKPMG is part of a global network of firms that offers Audit, Tax & Pensions, Consulting, Deal Advisory and Technology services. Through the talent of over 16,000 colleagues, we bring our creativity and insight to our clients’ most critical challenges.

With offices across the UK, we work with everyone from small start-ups and individuals to major multinationals, in virtually every industry imaginable. Our work is often complex, yet our vision is simple: to be the clear choice for our clients, for our people and for the communities we work in.

Job Description
Role: Case Assessment Senior Analyst, Client Acceptance Team
Role Type: Perm
Function: Risk Operations Group, Quality and Risk Management, KBS
Grade: E2
Working Hours: 09:30 - 17:30
Location: UK, Watford


Background

Our vision is to be the Clear Choice for our clients and the most trusted Firm. This is underpinned by the choice of clients we accept and work with. KPMG undertakes client risk assessments (CRA), including Anti-Money Laundering (AML) Know Your Client (KYC) as part its process for accepting clients.

The Client Acceptance Team forms a key part of this process and sits within Q&RM (part of KBS), which is led by the Chief Risk Officer. This team will also have a reporting line into the Money Laundering Reporting Officer (MLRO). KPMG’s Q&RM function is responsible for monitoring the firm’s and its individuals’ compliance with the firm’s professional risk management and quality control policies, procedures and guidance.

The Client Acceptance Team is a newly formed team, with both onshore and offshore delivery components and undertakes thorough client risk assessments (CRA) to help KPMG to appropriately identify, document and assess financial, reputational, money laundering and regulatory risks associated with its clients. The CRA will include completion of AML KYC in line with the Money Laundering (Transfer of the Payer) Regulations 2017 and associated industry guidance.

The Role

This role is for a Senior Analyst in the Case Assessment Team, part of the wider Client Acceptance Team. It is responsible for handling all incoming CRA requests, client outreach and initial money laundering risk assessments. The team performs upfront assessments of CRA requests to identify KYC documentation requirements and conducts initial research to obtain KYC information from public sources.

The team identifies missing information and obtains this from client-facing teams / directly from clients.
You will triage CRA requests and conduct research to identify KYC documentation requirements. You will support the Team Leader andAssistant Manager and work to agreed SLAs and quality standards.

When required, you will contact clients through an online portal to obtain the required KYC information.

You will be communicating with the wider business and clients through both email and telephone with a customer focus and high quality of service.

Key Responsibilities

- Proactive first response (triaging) to each new incoming case, analysing what information is outstanding and providing guidance to client teams to assist them with complying with the requirements.
- Conducting research using internal and external databases to identify KYC requirements for all client types.
- Working efficiently to agreed SLAs and quality standards.
- Setting up access to the online portal for client contacts.
- Escalating policy queries related to AML check procedures where appropriate.
- Developing awareness/familiarity of the relevant firm’s compliance policies and systems that support the CRA procedures.
The Person – Skills, Qualifications and Behaviours

- Excellent written and verbal communication skills with the ability to explain KYC requirements to client-facing Partners and staff and clients clearly and concisely.
- Ability to conduct research using AML systems/databases as part of KYC and client due diligence.
- Sound organisational and analytical skills with the ability to prioritise efficiently.
- Willingness to take personal responsibility and accountability for own work.
- Strong team-player who is both supportive and willing to help out.
- Client-focused approach with a passion for delivering excellence.
- Ability to interpret information and identify issues.
- Ability to work well under pressure.
- Extremely high level of attention to detail is essential.
- Ability to handle sensitive/confidential information appropriately.
- Ability to be proactive and work within a demanding environment where service quality is key.
- The confidence to challenge the status-quo and provide fresh ideas.
- Confident user of Microsoft Office applications and internet-based research tools.
- Prior working experience for a professional services firm and/or understanding of client acceptance and/or KYC procedures are a distinct advantage.



Our DealIf the chance to work with interesting clients and innovative technology wasn’t rewarding enough, we’ll motivate you in other ways too. At KPMG you can expect real responsibilities and opportunities to grow professionally.


‘Our Deal’ sets out all the different ways you’ll be rewarded at KPMG. Among other things you can benefit from honest conversations about your career as well as a range of other rewards. In all these ways and more, we have created an environment that can bring out the best in you.

Flexible WorkingWhile some of our client-facing professionals can be required to travel regularly, and at times be based at client sites, we are supportive where possible of helping you to achieve a balance between your home and work demands.

We are happy to discuss individual requirements and our range of flexible working arrangements could be of interest. Furthermore, as part of the recruitment process, we can put you in touch with people who work flexibly so you can understand from them what our culture is like.

Applying with a DisabilityKPMG are proud to be an inclusive, equal opportunity employer and we seek to attract and retain the best people from the widest possible talent pool. As a member of the Business Disability Forum we're committed to ensuring that you are treated fairly throughout our Recruitment Process. Should you be successful after the initial application stage, please discuss any reasonable adjustments that you may require, with your recruitment contact.

KPMG's commitment to diversity

We are proud of the value we place on individuality; we want you to bring your full self to work and truly maximise your potential. We believe that your individuality helps us to deliver the best results for our clients. Diversity of background, diversity of experience, diversity of perspective - that's the KPMG difference. But, don't take our word for it, find out more about diversity at KPMG.



Returning to work after a break
At KPMG, we appreciate that returning to work after an extended career break can be daunting. We understand that those with experience who have taken a career break have a wealth of experience and knowledge to offer our organisation, which helps us to achieve our business goals. We will support you to refresh your skills, develop your confidence and provide a supportive network across the firm to help you best integrate into the working environment. This role welcomes applications for individuals who have been out of work for 18 months or more and who have previous relevant experience.

Policy for Agencies

KPMG has a commitment to sourcing candidates directly and as such we do not accept speculative CV’s from agencies. Please check here to see our policy on agencies: Policy


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