Compliance Expert

5 days ago


Watford, Hertfordshire, United Kingdom KPMG Full time

Established in 1867, 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.

KPMG's Central Services function operates from 20 UK locations and sits within KPMG Central Services. Our community of experts across a wide range of critical activities helps grow, run, and protect KPMG in the UK.

We're part of a department focused on driving improved performance of the firm, which we support with diligence and expertise.

The Ethics and Independence team are responsible for monitoring compliance with professional risk management and quality control policies, procedures, and guidance. They work closely with the wider Quality and Risk community to exchange knowledge, develop processes, and respond to emerging requirements.

As a Senior Compliance Analyst, you'll clear potential investments for the UK partnership and partner equivalents, focusing on quality and timelines. This will involve data gathering, checking, reviewing outputs related to personal compliance audits for Direct Entry Partners, and escalating issues when necessary.

You'll be responsible for monitoring and maintaining accurate data related to former partners and directors, including conflict of interest messaging, researching, and instructing actions for individuals based on weekly processes.

  • Conduct pre-clearance checks according to process and take responsibility as a 1st reviewer at an early stage
  • Assist with personal compliance audits for Direct Entry Partners within agreed timescales, reviewing provided information and documents
  • Maintain thrice-weekly conflict of interest messaging, investigating, instructing individual action requirements, and following up until completion
  • Conduct all processes undertaken by the team
  • Review provided information and documents, liaise with Partners regarding their investments, and accurately record information within relevant systems
  • Support other E&I team members with wider compliance programs, such as clearance of the firm's annual E&I confirmation exceptions in your area

This role requires strong project management skills to enable task identification, planning, and prioritization. You'll need to work autonomously, taking responsibility for your own work, and possess excellent written and oral communication skills to build relationships with people at all levels.

You'll interpret information, identify issues, and work well under pressure while maintaining extremely high attention to detail. Confidentiality handling and challenging the status quo with fresh ideas are also essential.

Prior experience in a professional services firm and understanding of investment products are valuable assets.

To succeed in this role, you should have a salary expectation around £45,000 - £55,000 per annum, depending on your level of experience and qualifications.

Why Choose KPMG?

KPMG offers a competitive compensation package, opportunities for growth and development, and a collaborative work environment that values diversity and inclusion.

About Us:

KPMG is a global network of independent professional services firms, providing audit, tax, and advisory services. We operate in over 150 countries and employ more than 270,000 people worldwide.



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