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Personal E&I Senior compliance officer

Date: Apr 12, 2019

Location: Watford, United Kingdom

Company: KPMG UK

AutoReq ID143794BR
Job TitlePersonal E&I Senior compliance officer
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 DescriptionBackground

The Ethics and Independence (E&I) team are part of the Quality and Risk Management Risk Operations Group (ROG) 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 Group 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 E&I team are responsible for a number of processes and procedures in order to demonstrate oversight of compliance in accordance with firm/regulatory policy such as clearance of the firm’s personnel and third party resource for on-boarding and issuing mandatory E&I training in line with global requirements. They provide guidance and advice to partners, firm’s personnel and third party resource on personal independence matters and are the first point of contact for personal E&I related requests, completing the necessary research in order to escalate/ respond in accordance with firm/regulatory policy.

The Role

This role will involve supporting the Personal E&I team and providing guidance in accordance with firm/regulatory policy. This will include completing second level reviews on cases considered by the team as part of their daily process in relation to the clearance of external appointments and reviewing the threats and safeguards recommended by the team in relation to personal E&I matters declared by partners, employees and third party resource.
Training will be provided in order to develop a comprehensive understanding of relevant regulatory and firm requirements, after which the individual will be expected to answer specialist queries relating to personal E&I.

Key Responsibilities

The key responsibilities are as follows:
- Developing a comprehensive understanding of applicable personal independence rules.
- Completing 2nd level reviews following assessments made by the E&I team in regards to approving external appointments and all other regulatory queries/cases.
- Understanding and following the escalation process in relation to the team processes which are underpinned by regulatory requirements. Escalate where required to Management/ SME teams.
- Supervising responses to queries, resolving and documenting more complex queries by conducting research and related precedents and consulting with the E&I manager.
- Supporting the Assistant Manager with the implementation of operational process changes as required.
- Ensuring all team process notes are up to date and regularly reconciled.
- Monitoring mailboxes, making and answering phone calls, maintaining the helpline.
- Gaining a comprehensive understanding of processes undertaken by the team in order to provide cover in periods of absence.
- Generating management reports and analytics.
- Supporting E&I team members with wider compliance programmes where required.

The Person – Skills, Qualifications and Behaviours

- Sound organisational and analytical skills with the ability to prioritise efficiently.
- The ability and willingness to take personal responsibility and accountability for own work.
- Strong, supportive team-player.
- Client-focused approach with a passion for delivering excellence.
- Excellent written and oral communication skills.
- 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.
- Confident user of Microsoft Office applications.
- Prior working experience in Compliance/leading a team is desired but not essential.

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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