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RCP Assistant Manager

Date: Jul 21, 2021

Location: Birmingham, United Kingdom

Company: KPMG UK

UK Quality & Risk Management teams help to set, implement and enforce policies and procedures designed to help to enable KPMG UK and its personnel to achieve the following key objectives: (i) oversee and monitor service quality, (ii) protect the brand and reputation of KPMG, (iii) comply with laws, (iv) regulations and professional standards, and (v) minimize the risk of financial claims against KPMG UK.
The Compliance team is responsible for the firm’s Risk Compliance Programme (‘the RCP’) is to assess the effectiveness of the firm’s control environment, in particular to ensure that the firm and its personnel comply with KPMG’s risk management policies and procedures as well as various legal and regulatory requirements and professional standards.

The role
This will involve you taking responsibility for sections of the programme taking them through the complete life-cycle from planning the testing to proposing and agreeing actions in response to findings.
Findings from the programme are periodically reported to the firm’s Executive Management Team (ExCo) and its Audit and Risk Committee, as well as to the firm’s regulators.
The work will vary throughout the year as you take ownership of different sections of the programme and the role will give you an excellent opportunity to gain a thorough understanding of key risk areas within the business and to help develop and monitor improvements to the firm’s controls and procedures.
This is a great opportunity for someone who is looking to enter the world of risk management and gain experience working in an internal/operational role, reporting to key stakeholders within the business and responding to regulatory pressures.

Key responsibilities
The key responsibilities are as follows:

- Completing testing as part of the UK firm’s ongoing compliance programme.
- Liaising with key stakeholders, i.e. Functional Risk Management, Finance, Operations, Client Teams to obtain samples and discuss testing approach
- Assisting with root cause analysis and evidence of compliance or deficiencies within the testing remit
- Summarising the results of testing and liaising with the Risk Compliance Programme Manager and the Head of the Risk Compliance Programme to agree the findings and proposed actions.
- Reporting of findings alongside recommendations for improvements and areas where risk action plans are required to team and stakeholders
- Assisting and communicating with stakeholders on the monitoring of the Risk Compliance Programme action plan, which records the implementation of newly developed/improved controls and their effectiveness.
- Coaching other team members on compliance testing which you have performed in a previous period.
- Obtain responses for RCC including tracking and monitoring who has responded and then performing quality review of the responses that received.
- Closing off and updating relevant platform for file maintenance (eaudit/clara/GRC)
- Assisting with team members work load and work allocation and share knowledge proactively
- Being a Relationship Manager with the relevant business area allocated and sharing all testing requirements for the year to establish a better working relationship.
- Involvement in ad-hoc risk management projects as they arise.
- Monitoring the RCP inbox and allocating emails to the relevant team member and responding to ad hoc queries when required.
- Taking on additional responsibility as and when required and being involved in various ad-hoc tasks and projects by a Senior Team Member.
Qualifications, skills and behaviours
- Excellent oral and written communication skills.
- The ability and confidence to effectively question Partners and other senior personnel within the firm, listening, challenging and applying judgement to responses.
- Strong time management skills with an ability to prioritise and deal with conflicting demands.
- Proven ability to work both independently and as a strong team player.
- Ability to handle sensitive/confidential information appropriately.
- Pro-active approach and the ability to follow matters to a conclusion and suggest forward facing actions
- Prior compliance experience is desirable
- Knowledge of existing risk management systems (such as SAP/CEAC and Sentinel) an advantage
- Knowledge of KPMG’s structure and range of business capabilities/services essential

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