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Personal Ethics & Independence Officer- 12 Month FTC

Date: Apr 8, 2021

Location: Watford, United Kingdom

Company: KPMG UK

The Ethics and Independence (E&I) team are part of the Risk Operations Group (ROG) within the Operational Excellence Hub (OEH) 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 you providing support to firm’s personnel on personal E&I matters, including compliance with mandatory training and personal declaration requirements.
Initially, tasks will be completed under supervision until you develop a working knowledge of relevant policies and processes, after which you will be expected to administer processes allocated to you.

Key Responsibilities
The key responsibilities are as follows:
- Assigning relevant E&I tasks to firm’s personnel and third-party resource and monitoring completion using firms internal training, compliance and HR systems and Microsoft Office
- Developing a comprehensive understanding of applicable personal independence rules.
- Responding to queries and clearing E&I exceptions based on personal independence requirements
- Liaising with the onboarding teams to clear new joiners/third party resource from an E&I perspective to commence employment with the firm
- Monitoring mailboxes, answering calls directed to the E&I helpline
- Generating management reports and analytics
- Assisting other E&I team members with wider compliance programmes, where required
- Assisting the E&I manager with E&I related projects such as new training and E&I questionnaire releases
The Person – Skills, Qualifications and Behaviours
- Sound organisational and analytical skills with the ability to prioritise effectively
- 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 personal compliance is desired but not essential

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