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E&I Partner Independence Assistant Manager

Date: Nov 1, 2021

Location: Watford, United Kingdom

Company: KPMG UK

The Role
This role has responsibility for supporting the management of the PIT team operations with the focus on the quality of service.

You will support the PIT activities with the help of the PIT Assistant Managers, consulting with relevant E&I colleagues when issues of unusual nature arise. You will be responsible for a rolling training programme for the team and maintaining the PIT processes aimed at the firm’s Partners’ full compliance with the regulations and procedures relating to their personal investments.


Key Responsibilities
The key responsibilities are as follows:

- Launch Audit tranche within agreed deadline and assume responsibility for additions and removals from the tranche population, keeping all trackers accurate, provide weekly reconciliation of the tranche.
- Perform 2nd reviews of each personal compliance audit and feedback to 1st reviewer, in a timely manner, ensuring that identified breaches are escalated and recorded in the correct manner, reporting to the E&I manager.
- Assume responsibility for preparation and execution of rolling training programme for the PIT, working with our subject matter expert team on delivery.
- Providing guidance to and being an escalation point for the PIT team.
- Supervising responses to queries, resolving and documenting more complex queries by conducting research and related precedents and consulting with the E&I manager.
- Supporting with the discretionary investments’ management arrangements: liaising with brokers, accurately maintaining the accounts within the firms KPMG Independence Compliance System (KICS).
- Enabling improvements in the processes, incl. by creating a stimulating environment for the PIT team members to make recommendations.
- Providing management information on the PIT team activities, supporting wider reporting requirements, including monthly and quarterly reconciliations.
- Assisting other E&I team members with wider compliance programmes, training to support the Pre-Clearance team to cover adhoc as 2nd reviewer.
The Person – Skills, Qualifications and Behaviours
- Knowledge and understanding of investment products.
- A motivated individual with a "can-do" and solutions focused attitude.
- Strong coaching and mentoring skills.
- The ability to work autonomously and take responsibility for own and team’s work.
- Strong project management skills to enable identification of required tasks and deadlines and planning and prioritisation of these tasks in an appropriate manner.
- Strong team-player who is both supportive and willing to help out.
- Client-focused approach with a passion for delivering excellence.
- Excellent written and oral communication skills, ability to communicate with people at all levels and build relationships.
- The ability to interpret information and identify issues.
- The ability to work well under pressure.
- Extremely high level of attention to detail is essential.
- The ability to handle sensitive/confidential information appropriately.
- The confidence to challenge the status-quo and provide fresh ideas.
- Strong knowledge of Microsoft Office applications.
- Prior working experience for a professional services firm is a plus.


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