Personal Ethics & Independence Compliance Officer

Job description

AutoReq ID

143196BR

Job Title

Personal Ethics & Independence Compliance Officer

Country

United Kingdom

Location

Watford

Function

KPMG Business Services

Service Line

QRM

Service Line Information

Quality and Risk Management are the responsibility of each partner and employee. This responsibility includes the need to understand and adhere to member firm policies and associated procedures in carrying out their day-to-day activities. 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.

KPMG Overview

KPMG is part of a global network of firms that offers Audit, Tax & Pensions, Consulting, Deal Advisory and Technology services. Through the talent of over 16,000 colleagues, we bring our creativity and insight to our clients’ most critical challenges.
With offices across the UK, we work with everyone from small start-ups and individuals to major multinationals, in virtually every industry imaginable. Our work is often complex, yet our vision is simple: to be the clear choice for our clients, for our people and for the communities we work in.

Job Description

Background

The Personal Independence team are part of Quality and Risk Management, 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 team 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 Personal Independence team are responsible for providing guidance and advice to Partners and the firm’s personnel on personal E&I matters and play an important role in running related processes and procedures to ensure compliance. The Partner Independence team part of the wider Personal Independence team work directly with the firm’s Partners helping them to comply with the policies and procedures in relation to their personal investments.

The Role

This role will involve you supporting Partners, Partner Equivalents and Professional staff personal through the personal compliance audit process and delivering a high volume of audits with a focus on quality and timelines.
You will process autonomously the personal compliance audits, consulting with your team lead immediately when unusual issues arise. You will be responsible for supervising data gathering, collation, checking and reviewing the outputs related to the personal compliance audits, and for appropriate escalation of issues.
The role will involve other key responsibilities covering a wide range of tasks in addition to the quota of audits allocated.

Key Responsibilities

The key responsibilities are as follows:

- Developing an understanding of investment products and how they relate to independence requirements, demonstrating the ability to deal with complex queries
- Conducting allocation of personal compliance audits. Reviewing the provided information and documents; liaising with participants in respect to their investments; accurately recording information within relevant systems.
- Authoring questionnaires, preparation of communications, tracking progress, reviewing conducted PCAs, reporting to the team lead, ensuring that identified breaches are escalated and recorded in the correct manner as per process requirements.
- Supporting the team lead with adhoc key tasks in relation to brokerage accounts, KICS portfolio reconciliations, adhoc independence reviews.
- Assisting other E&I team members with wider compliance programmes, e.g. clearance of the firm’s annual E&I confirmation exceptions, and Midyear Financial Affairs confirmations 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.

Our Deal

Flexible Working

Our employees have many varied work schedules to suit their individual needs!

Our intelligent working options range from role sharing and flexible start and finish times, to home working and more informal arrangements agreed within teams.

Check out examples of KPMG employees enjoying different working patterns on our website and please do share your own individual requirements with us.

Applying with a Disability

As a member of the Business Disability Forum we're committed to ensuring a great experience for colleagues with a disability. Should you be successful after the initial application stage, please discuss any adjustments that you may require with your recruitment contact.

KPMG's commitment to diversity

We are proud of the value we place on individuality. We want you to bring your full self to work and maximise your potential. KPMG is a place where everyone can thrive, whatever their gender, ethnicity, disability, sexual orientation and socio-economic background.

Policy for Agencies

KPMG has a commitment to sourcing candidates directly and as such we do not accept speculative CV’s from agencies. Please check here to see our policy on agencies:Policy