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Compliance Assistant

Date: May 18, 2019

Location: Watford, United Kingdom

Company: KPMG UK

AutoReq ID143211BR
Job TitleCompliance Assistant
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 DescriptionService line Information

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.
The Compliance team is responsible for the firm’s Risk Compliance Programme (‘the RCP’) is to assess the effectiveness of the firm’s control environment, in particular to ensure that the firm and its personnel comply with KPMG’s risk management policies and procedures as well as various legal and regulatory requirements and professional standards.

The role

This will involve you taking responsibility for sections of the programme taking them through the complete life-cycle from planning the testing to proposing and agreeing actions in response to findings.
Findings from the programme are periodically reported to the firm’s Executive Management Team (ExCo) and its Audit and Risk Committee, as well as to the firm’s regulators.
The work will vary throughout the year as you take ownership of different sections of the programme and the role will give you an excellent opportunity to gain a thorough understanding of key risk areas within the business and to help develop and monitor improvements to the firm’s controls and procedures.
This is a great opportunity for someone from an audit background who is looking to enter the world of risk management / internal audit and gain experience working in an internal/operational role, reporting to key stakeholders within the business and responding to regulatory pressures.

Key responsibilities

The key responsibilities are as follows:

- Completing testing as part of the UK firm’s ongoing compliance programme.
- Liaising with key stakeholders, i.e. Functional Risk Management, Finance, Operations, Client Teams
- Summarising the results of testing and liaising with the Risk Compliance Programme Manager and the Head of the Risk Compliance Programme to agree the findings and proposed actions.
- Assisting with the reporting of findings alongside recommendations for improvements and areas where risk action plans are required.
- Assisting with the monitoring of the Risk Compliance Programme action plan, which records the implementation of newly developed/improved controls and their effectiveness.
- Coaching other team members on compliance testing which you have performed in a previous period.
- Involvement in ad-hoc risk management projects as they arise.

Qualifications, skills and behaviours

- Excellent oral and written communication skills.
- The ability and confidence to effectively question Partners and other senior personnel within the firm, listening, challenging and applying judgement to responses.
- Strong time management skills with an ability to prioritise and deal with conflicting demands.
- Proven ability to work both independently and as a strong team player.
- Ability to handle sensitive/confidential information appropriately.
- Internal or external audit experience is preferred.
- Knowledge of existing risk management systems (such as SAP/CEAC and Sentinel) an advantage.

Our Deal

Flexible Working

Our employees have many varied work schedules to suit their individual needs!



Our intelligent working options range from role sharing and flexible start and finish times, to home working and more informal arrangements agreed within teams.



Check out examples of KPMG employees enjoying different working patterns on our website and please do share your own individual requirements with us.



Applying with a DisabilityAs a member of the Business Disability Forum we're committed to ensuring a great experience for colleagues with a disability. Should you be successful after the initial application stage, please discuss any 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 maximise your potential. KPMG is a place where everyone can thrive, whatever their gender, ethnicity, disability, sexual orientation and socio-economic background.

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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