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Senior Compliance Analyst-Partner Independence- 12 Month FTC

Date: Apr 21, 2021

Location: Watford, United Kingdom

Company: KPMG UK

The Partner Independence team are part of the wider Personal Ethics & Independence (“E&I”) team in Quality & Risk Management and sit within the OEH (Operational Excellence Hub). The Personal E&I team is responsible for developing and deploying appropriate policy, procedure and guidance on Personal Ethics and Independence (firm, personal and service-related) to ensure compliance with regulatory and KPMG International requirements, ensuring an adequate programme of communication and training in respect of those policies and procedures is in place and providing guidance and advice to Partners and staff on all E&I matters.
The Partner Independence team provide support and guidance to all of KPMG’s partners and partner equivalents and play an important role ensuring personal independence compliance is met and upheld by helping them to accurate maintain their personal compliance records in line with the policies and procedures surrounding their personal financial affairs.

The Role
The role will predominantly be responsible for supporting the Partner Independence Team with the implementation of additional processes identified to ensure partners and partner equivalents remain compliant with personal independence requirements of the firm.

This role will also involve supporting partners and partner equivalents through the personal compliance audit process in regards to personal financial arrangements (mainly investments) held by partners, partner equivalents and their family members.

Key Responsibilities
The key responsibilities are as follows:
- Supporting in the implementation of additional processes which have been identified to ensure partners and partner equivalents remain compliant with personal independence requirements of the firm
- Developing an understanding of investment products and how they relate to the independence requirements set out by our external regulators and our internal policies, demonstrating the ability to deal with complex and sensitive queries.
- Conducting personal compliance audits by reviewing the provided information and documents; liaising with partners and partner equivalents in respect of their investments; accurately recording information within the relevant systems.
- Tracking progress of completion and regularly reporting to the team leader, ensuring that identified breaches of regulation or firm policy are escalated and recorded in the correct manner as per process requirements.
- Supporting the team with other adhoc key tasks as and when required.
The Person – Skills, Qualifications and Behaviours
- Prior working experience in a professional services firm and understanding of investment products would be an advantage
- The ability to work autonomously and take responsibility for the quality of the work.
- Strong time management skills to enable identification of required tasks and deadlines and be able to plan and prioritise their tasks effectively.
- Strong team-player who is both supportive and willing to help others in line with a collaborative working environment.
- Client-focused approach with a passion for delivering excellence and a high quality service.
- Excellent written and oral communication skills, ability to communicate with people at all the most senior levels and build relationships effectively.
- The ability to interpret information and identify issues and escalate in line with procedures.
- The ability to work well under pressure.
- Extremely high level of attention to detail is essential.
- The ability to handle sensitive/confidential information appropriately where absolute discretion is required.
- The confidence to challenge the status-quo and provide fresh ideas.
- Strong knowledge of Microsoft Office applications.

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