Senior Compliance Auditor 12 Month Ftc - Watford, United Kingdom - KPMG-UnitedKingdom

KPMG-UnitedKingdom

Verified Company

Watford, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Job description

Role

Senior Compliance Auditor

Function

Risk Operations Group, OEH, KBS

Grade

D

Duration

12-month FTC

Background

The Partner Independence team are part of the wider Ethics & Independence ("E&I") team and sit within Quality and Risk Management.

The E&I team is responsible for developing and deploying appropriate policy, procedure and guidance on Ethics and Independence (firm, personal and service-related) to ensure compliance with regulatory and KPMG International requirements, ensuring an adequate programme of communication and training in respect of those policies and procedures is in place and providing guidance and advice to Partners and staff on all E&I matters.

The Partner Independence team provide support and guidance to all of KPMG's Partners and Directors and play an important role ensuring personal independence compliance is met and upheld by helping them to accurate maintain their personal compliance records in line with the policies and procedures surrounding their personal financial affairs.

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