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Senior Compliance Analyst - 6 month FTC

Date: Jul 31, 2021

Location: Watford, United Kingdom

Company: KPMG UK

The Team

KPMG and its people are required to comply with the financial independence rules established by various regulators including the UK FRC, IESBA and the SEC as well as KPMG Global polices. Ensuring compliance with these requirement helps to protect the firm’s client and public relationships and uphold the reputation of the firm.
The Ethics and Independence (E&I) team are part of the Quality and Risk Management Risk Operations Group 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 Role

The main responsibilities of the role is clearance of all potential investments for the UK partnership and partner equivalents with a focus on quality and timelines. This will involve data gathering, collation, checking and reviewing the outputs related to the personal compliance audits for the Direct Entry Partners and for appropriate escalation of issues.
The individual will be expected to monitor and maintain accurate data in relation to the former partner and director process including monitoring conflict of interest messaging and researching and instructing the appropriate action for individuals as a result of the weekly process.

Key Responsibilities

The key responsibilities are as follows:
 Conducting pre clearance checks as per process, and assuming responsibility as a 1st reviewer in the pre-clearance process at an early stage.
 Assisting with personal compliance audits in accordance with the agreed timescales for Direct Entry Partners; Reviewing the provided information and documents;
 Maintenance and thrice weekly conflict of interest messaging, investigation, instructing individual action requirements and following up to completion of action.
 Conducting all processes undertaken by the team
 Reviewing the provided information and documents; liaising with Partners in respect to their investments; accurately recording information within relevant systems.
 Assisting other E&I team members with wider compliance programmes, e.g. clearance of the firm’s annual E&I confirmation exceptions in your area.

The Person

Skills, Qualifications and Behaviours
• The ability to work autonomously and take responsibility for own work.
• Strong project management skills to enable identification of required tasks and deadlines and planning and prioritisation of these tasks in an appropriate manner.
• Strong team-player who is both supportive and willing to help out.
• Client-focused approach with a passion for delivering excellence.
• Excellent written and oral communication skills, ability to communicate with people at all levels and build relationships.
• 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.
• Strong knowledge of Microsoft Office applications.
• Prior working experience in a professional services firm and understanding of investment products are a plus.

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