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Team Leader, Client Assessment Team

Date: Nov 12, 2020

Location: Watford, United Kingdom

Company: KPMG UK

Our vision is to be the Clear Choice for our clients and the most trusted Firm. This is underpinned by the choice of clients we accept and work with. KPMG undertakes client risk assessments (CRA), including Anti-Money Laundering (AML) Know Your Client (KYC) as part its process for accepting clients.
The Client Assessment Team forms a key part of this process and sits within Q&RM (part of KBS), which is led by the Chief Risk Officer. This team will also have a reporting line into the Money Laundering Reporting Officer (MLRO). KPMG’s Q&RM function 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.
The Client Assessment Team has both onshore and offshore delivery components and undertakes thorough client risk assessments (CRA) to help KPMG to appropriately identify, document and assess financial, reputational, money laundering and regulatory risks associated with its clients. The CRA will include completion of AML KYC in line with the Money Laundering (Transfer of the Payer) Regulations 2017 and associated industry guidance.

The Role
The Client Assessment Team Leader will have responsibility for leading a sub-team of Senior Analysts with a focus on the delivery, quality control and performance of the sub-team. The role will report to the Client Assessment Team Manager.
You will perform a quality control review of client risk assessments completed by Senior Analysts in your sub-team and where necessary, preparing them for review by the MLRO if required.
The role will also be responsible for conducting ongoing monitoring of adverse media and identifying instances where a periodic review of a client relationship is required.
The role will have line management responsibility including conducting appraisals of sub-team members and will involve liaising with the Level one team located in India.

Key Responsibilities
The key responsibilities are as follows:

- Ensure CRAs and AML KYC are both carried out in accordance with the KPMG’s policies policies/guidance, within SLA’s and to the appropriate standard.
- Manage the operational workflow of the sub-team and where possible, initiating improvements to processes and techniques to achieve optimal levels of efficiency and effectiveness and to maximise productivity gains.
- Identify and diagnose and where possible, resolving areas of sub-optimal business performance within the sub-team.
- Performing quality control reviews of CRAs prepared by the sub-team.
- Reviewing complex / high risk CRA’s and ensuring appropriate escalation of cases performed by the sub-team.
- Liaising with client teams and partners when new adverse media or sanctions are identified which require further action.
- Performance manage CRA Analysts within the sub-team, including conducting appraisals.
- Ensuring the work is carried out in accordance with the existing guidance, within SLA’s and to the appropriate standard.
- Liaising with offshore team to facilitate initial set up and ongoing training and support.
- Sharing knowledge through masterclasses and ongoing feedback process.
- Proposing and enabling improvements in the processes, including by creating a stimulating environment for team members to make recommendations.

- Providing management information on the team activities, supporting wider reporting requirements.

- Management of other projects related to the Client Assessment Team as and when required.
The Person – Skills, Qualifications and Behaviours

- At least some years’ experience working in a CDD / AML role.
- Excellent written communication skills, ability review and update answers to CRA questions to ensure they are always written in clear, concise and business language.
- Strong working knowledge of the Money Laundering Regulations 2017 and associated industry guidance and how they apply to KPMG.
- Excellent verbal communication skills, ability to explain risks and issues to team members and management.
- Client-focused approach with a passion for delivering excellence.
- Strong project management skills to enable identification of required tasks and deadlines and planning and prioritisation of these tasks in an appropriate manner.
- Willingness to work autonomously and take responsibility for own work.
- Ability to interpret complex information and identify issues.
- A motivated team leader with a "can-do" and solutions focused attitude.
- The confidence to challenge the status-quo and provide fresh ideas.
- Possess an eye for detail as well as an ability to work under pressure.
- Excellent organisational, literacy and numeracy skills.
- Proven ability to build relationships and communicate with people at all levels.

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