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Senior Compliance Auditor – Personal E&I Team- 12 Month FTC

Date: Nov 1, 2021

Location: Watford, United Kingdom

Company: KPMG UK

The Role
This role will involve you supporting Partners and Directors through the personal compliance audit process.
You will autonomously undertake personal compliance audits in regards to the personal financial arrangements (mainly investments) held by our Partners, Directors and their family members. You will handle a high volume of audits with an absolute focus on quality whilst working within strict timelines.

The purpose of the personal compliance audits is to ensure the details regarding financial arrangements are reported accurately in our compliance system and cross check against current documentation and will consult with your team leader immediately when anomalies arise. You will be responsible for supervising data gathering, collation, checking and reviewing the outputs related to the personal compliance audits, and for appropriate and timely escalation of any issues.

The role will involve other key responsibilities covering a wide range of tasks in addition to the quota of audits allocated to you.

Key Responsibilities
The key responsibilities are as follows:
- 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 Senior Leaders 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
- 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.
- Prior working experience in a professional services firm and understanding of investment products are an advantage but not essential as full training will be provided.


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