Senior Compliance Analyst

7 days ago

Watford, United Kingdom KPMG UK Full time

Senior Compliance Analyst (12 month FTC)


Base Location: Birmingham or Watford


The KPMG Business Services function is a cornerstone of our UK business. Operating from 20 UK locations and sitting with KPMG Central Services we do work that matters.


Within Central Services we are part of a community of experts across a wide range of critical activities who help grow, run, and protect KPMG in the UK.

From HR and Learning, Finance, Procurement, Facilities and Business Support, through to Risk and Legal, Corporate Affairs, and Sales and Marketing, our approach is focused on driving the improved performance of the firm, which we support with diligence and expertise.

KPMG is one of the world's largest and most respected consultancy businesses, we've supported the UK through times of war and peace, prosperity and recession, political and regulatory upheaval. We've proudly stood beside the institutions and businesses which make the UK what it is.


Why Join KPMG as a Senior Compliance Analyst


KPMG and its people are required to comply with the financial independence rules established by various regulators including the UK FRC, IESBA and the SEC as well as KPMG Global polices. Ensuring compliance with these requirement helps to protect the firm’s client and public relationships and uphold the reputation of the firm.

The Ethics and Independence (E&I) team are part of the Quality and Risk Management Risk Operations Group 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 Group 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.


What will you be doing?


The main responsibilities of the role is clearance of all potential investments for the UK partnership and partner equivalents with a focus on quality and timelines. This will involve data gathering, collation, checking and reviewing the outputs related to the personal compliance audits for the Direct Entry Partners and for appropriate escalation of issues.

The individual will be expected to monitor and maintain accurate data in relation to the former partner and director process including monitoring conflict of interest messaging and researching and instructing the appropriate action for individuals as a result of the weekly process.


Conducting pre clearance checks as per process, and assuming responsibility as a 1st reviewer in the pre-clearance process at an early stage

Assisting with personal compliance audits in accordance with the agreed timescales for Direct Entry Partners; Reviewing the provided information and documents

Maintenance and thrice weekly conflict of interest messaging, investigation, instructing individual action requirements and following up to completion of action

Conducting all processes undertaken by the team

Reviewing the provided information and documents; liaising with Partners in respect to their investments; accurately recording information within relevant systems

Assisting other E&I team members with wider compliance programmes, e.g. clearance of the firm’s annual E&I confirmation exceptions in your area


What will you need to do it?


Strong project management skills to enable identification of required tasks and deadlines and planning and prioritisation of these tasks in an appropriate manner

The ability to work autonomously and take responsibility for own work

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


To discuss this or wider Central Services roles with our recruitment team, all you need to do is apply, create a profile, upload your CV and begin to make your mark with KPMG.


Find out more:


Within Central Services we have a range of divisions and specialisms. Click the links to find out more below:


Central Services (KBS) at KPMG: www.kpmgcareers.co.uk/experienced-professional/kpmg-business-services/

Inclusivity and KPMG: www.kpmgcareers.co.uk/people-culture/being-inclusive/

KPMG Workability and Disability confidence: www.kpmgcareers.co.uk/experienced-professional/applying-to-kpmg/need-support-let-us-know/


For any additional support in applying, please click the links to find out more:


Applying to KPMG: www.kpmgcareers.co.uk/experienced-professional/applying-to-kpmg/

Tips for interview: www.kpmgcareers.co.uk/experienced-professional/applying-to-kpmg/application-advice/

KPMG values: www.kpmgcareers.co.uk/experienced-professional/applying-to-kpmg/our-values/ KPMG Competencies: www.kpmgcareers.co.uk/experienced-professional/applying-to-kpmg/kpmg-competencies/

KPMG Locations and FAQ: www.kpmgcareers.co.uk/faq/?category=Experienced+professionals

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