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Quality Assurance Manager, Ethics and Independence

Date: Sep 3, 2021

Location: Watford, United Kingdom

Company: KPMG UK

The Role
A confident and experienced Quality Assurance Manager to help develop a quality framework across all Personal Ethics and Independence Teams. Provide assurance that controls and end to end processes are being carried out effectively and recommend remedial action where required. We are looking for a talented and driven individual to join our team to deliver first-class quality assurance to our Ethics and Independence teams, helping support and promote excellence across all areas.

If you’re passionate about helping us deliver excellent service and always looking for ways to improve processes, then this exciting role is for you.

Key Responsibilities
The key responsibilities are as follows:
- Create, maintain, deliver, and develop a robust quality assurance framework for the E&I SME Team
- Carry out regular reviews on the E&I Operational teams (including personal audit reviews, pre-clearance, KICs, New Joiner, Rejoiner and Contractors processes)
- Maintain robust review records and scoring system
- Ensure polices and processes are reviewed and updated regularly and remain fit for purpose
- Produce detailed reports highlighting conduct concerns, risk event requirements and training needs. Identify trends which lead to poor outcomes, at individual and/or team level and suggest an appropriate action plan to prevent reoccurrence
- Share best practice with operational teams so they can learn from the best
- Promote QA and celebrate individuals’ successes
- Provide an induction overview, training and expectation setting to all new joiners on the operational teams
- Champion the KPMG brand and E&I rules and regulations in all aspects of the role
- Review complaints, feedback, issues and breaches and work with SME team to recommend remedial action
- Maintain the complaints, feedback, issues and breaches log accurately and efficiently
- Work with the operational teams to establish the root cause of the log and help them implement mitigating steps to ensure it doesn’t happen again
- Work with the operational teams to pro-actively put the relevant preventative controls in place to avoid potential issues and breaches
- Ad hoc support in completion of quarterly control self-assessments, to assess the completion and effectiveness of controls within key operational activities and associated reporting
- Perform 3rd level reviews as and when required and perform spot checks across team processes to ensure SLA’s are being adhered to
- Work with the Head of Risk Operations Group and direct reports to establish a quality culture of right first time and continuous improvement
- Produce and share guidance to help the operational teams continuously improve.
The Person – Skills, Qualifications and Behaviours
- Working knowledge and understanding of Quality Assurance Frameworks, metrics and MI
- A proven track record of delivering high quality work in your current and previous roles
- Worked in a heavily regulated environment with experience in Governance, Risk and Controls
- Experienced in a 3 Lines of Defence risk culture
- Excellent written and verbal communication skills, with the ability to provide feedback in a constructive and tactful way
- Knowledge and understanding of investment and financial products preferred
- Excellent attention to detail and strong analytical skills
- Strong collaboration skills, working closely with people leaders ensuring QA results meet expectations and help our people deliver an excellent level of service
- An ability to identify process and functionality gaps from review outcomes
- A desire for continuous improvement
- Strong project management skills to enable identification of required tasks, deadlines, planning and prioritisation of these tasks in an appropriate manner
- Client-focused approach with a passion for delivering excellence
- The ability to interpret information and identify issues.
- The ability to work well under pressure
- The ability to handle sensitive/confidential information appropriately
- The confidence to challenge the status-quo and provide fresh ideas
- Strong knowledge of all Microsoft Office applications
- Prior working experience for a professional services firm is a plus


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