Compliance Administrator

Compliance officer (Personal Independence Pre Clearance Officer)

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 has responsibility for with the Pre Clearance of all potential investments for the UK partnership and Accredited Leaders with a focus on quality and timelines.

The role also has responsibility for data gathering, collation, checking and reviewing the outputs related to the personal compliance audits for the Partner and Non Partner population; and for appropriate escalation of issues.

Key Responsibilities

The key responsibilities are as follows:

• Conducting pre clearance checks as per process, and assuming responsibility as a 1st reviewer in the pre-clearance process at an early stage.
• Reviewing the provided information and documents; liaising with Partners in respect to their investments; accurately recording information within relevant systems.
• Assisting with carrying out personal compliance audits in accordance with the agreed timescales; Reviewing the provided information and documents;
• Assisting other E&I team members with wider compliance programmes, eg clearance of the firm's annual E&I confirmation exceptions in your area.
• Maintenance and Review of the Former Partner external Appointment Register

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.