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Personal Ethics & Independence Senior Officer– E&I

Date: Nov 18, 2021

Location: Watford, United Kingdom

Company: KPMG UK

Roles and ResponsibilitiesThis role has responsibility for supporting the Assistant Manager with a focus on delivering excellent quality across our service catalogue. With the help of management, this role will support personal E&I activities with a right first-time approach and continuous improvement.
You will be responsible for helping train and coach the team to ensure full compliance with the regulations, policy and procedures relating to E&I. You will consult with relevant E&I colleagues assisting with queries and issues as they arise. Where lessons learnt are identified, you will root cause and help to improve processes by recommending and applying enhancements to increase understanding and quality.

The key responsibilities are as follows:
• Assisting the management team and providing SME support to the E&I team
• Perform second level reviews on all E&I processes providing feedback to the first reviewer in a timely manner. Identify any issues and ensure they are escalated and recorded in the correct manner, reporting to the Personal E&I manager
• Assist with ongoing training and development of the Personal E&I team
• Ensure tasks are completed in accordance with the applicable regulations and existing guidance and within the service level agreements
• Assign relevant E&I tasks to the firm’s personnel and third-party resource and monitoring completion using firms internal training, compliance and HR systems and Microsoft Office
• Have excellent working knowledge and comprehensive understanding of applicable personal independence rules
• Responding to queries and clearing E&I exceptions based on personal independence requirements
• Liaising with the onboarding team to help resolve any escalations and issues driving quality
• Assisting with mailboxes and E&I helpline escalations and queries
• 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 able to train and coach the team
• Provide second level quality checking support
• 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