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Personal Compliance Team Leader

Date: Feb 4, 2019

Location: Watford, United Kingdom

Company: KPMG UK

AutoReq ID141881BR
Job TitlePersonal Compliance Team Leader
CountryUnited Kingdom
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 DescriptionBackground

The Personal Independence team are part of Quality and Risk Management, which 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. Furthermore, the team work with the wider Quality and Risk community and across the KPMG network to exchange knowledge, develop and improve processes and procedures in response to emerging regulatory, business and other requirements.
The Personal Independence team are responsible for providing guidance and advice to Partners and the firm’s personnel on personal E&I matters and play an important role in running related processes and procedures to ensure compliance. The Partner Independence team part of the wider Personal Independence team work directly with the firm’s Partners helping them to comply with the policies and procedures in relation to their personal investments.

The Role

This role has responsibility for New Entry Partners’ personal compliance audits with the focus on quality and timelines.
The role has responsibility for data gathering, collation, checking and reviewing the outputs related to the personal compliance audits; and for appropriate escalation of issues.
The role also has responsibility for the Pre Clearance of all potential investments for the UK partnership.

Key Responsibilities

The key responsibilities are as follows:

- Allocating work to the PCT team.
- Ensuring the PCT team work is carried out on time, in a polite and appropriate manner, and in accordance with the applicable regulations and existing guidance.
- Providing subject matter expertise/ guidance to and being an escalation point for the PCT/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.
- Overseeing the New Entry Partners’ personal compliance audits (PCAs): authoring questionnaires, professional communication and guidance throughout entry to the firm, tracking progress, reviewing conducted PCAs, reporting to the E&I manager, ensuring that identified issues/potential breaches are escalated and recorded in the correct manner. Ensuring completion prior to New Entry Partners’ meeting with senior manager, personal independence.
- Conducting 2nd review pre clearance checks as per process, and assuming responsibility as process owner of the pre clearance process at an early stage.
- Overseeing the former Partner process, tracking external appointments and other data required for former Partners of the UK firm.
- Assisting other E&I team members with wider compliance programmes, e.g. clearance of the firm’s annual E&I confirmation exceptions in your area. Risk metric data, internal audit data.

The Person – Skills, Qualifications and Behaviours

- The ability to work autonomously and take responsibility for own 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 in a professional services firm and understanding of investment products are a plus.

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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