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Personal Ethics & Independence Assistant Manager - 12 Month FTC

Date: Feb 17, 2021

Location: Watford, United Kingdom

Company: KPMG UK

The Personal 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 and 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
An opportunity exists for a strong assistant manager to oversee the day to day processes undertaken by the Personal E&I team and provide support and guidance in order to ensure timely and accurate completion of daily processes in accordance with firm/regulatory policy. The individual will be able to demonstrate excellent communication skills and the ability to deal with difficult situations and solve issues effectively. This is an ideal opportunity for someone with vast experience in leading a team who would like to develop their career in a compliance role in Risk Operations.
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.
- Reporting to the Personal E&I manager on a weekly basis, confirming all processes are being completed in accordance with agreed timescales and escalating any issues in real time
- Performance management of the Personal E&I team members
- Ensuring the Personal E&I team tasks are completed in accordance with the applicable regulations and existing guidance and within the service level agreements
- Supervising responses to queries, resolving and documenting more complex queries by conducting research and related precedents and consulting with the Personal E&I manager
- Providing subject matter expertise/guidance and being an escalation point for the Personal E&I team
- Monitoring mailboxes and ensuring queries are dealt with in a timely manner
- Overseeing the training plan created for the team and implementing for new staff where required
- Generating management reports and analytics
- Supporting Personal E&I team members with wider compliance programmes where required
- Assisting the Personal E&I manager with E&I related projects
The Person – Skills, Qualifications and Behaviours
- Comprehensive experience in successfully leading a team
- Prior experience of working in a Compliance role
- 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

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