Personal Ethics & Independence Operations Manager

ZipRecruiter; Leeds; On-site; GBP 40,000 - 55,000; Full time

Job summary

A leading company in consultancy seeks a Personal Ethics and Independence Operations Manager for a 24-month FTC in Leeds. The role involves managing teams to ensure compliance with ethical standards and providing guidance on independence matters. Candidates should possess strong project management and communication skills, with a focus on delivering excellence. This position offers a chance to lead initiatives that enhance compliance and improve processes within the firm.

Qualifications

• Experience with regulatory and firm policy in financial investments.
• Prior working experience in a compliance or audit role is advantageous.

Responsibilities

• Manage day-to-day operations of teams responsible for partner independence.
• Ensure compliance with policies and provide guidance on ethics matters.
• Drive improvements in compliance levels across the firm.

Skills

Client-focused approach

Project management

Communication

Problem solving

Attention to detail

Coaching and mentoring

Education

Compliance or audit experience

Job description

Job Description

Personal Ethics and Independence Operations Manager (24-month FTC)

Base Location: Leeds

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 Personal Ethics & Independence Operations Manager

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.

Within the Risk Operations Group there are four teams who have responsibility for Partner and colleague independence. These teams are responsible for communicating UK policy, process and guidance on Ethics & Independence (firm and personal) and providing guidance and advice to partners and colleagues on ethics & Independence matters.

What will you be doing?

This role has responsibility for managing four teams who have responsibility for Partner and colleague independence.

You will manage the overall day to day operation of the four teams who have responsibility for Partner and colleague independence, consulting with relevant Ethics and Independence colleagues and support senior management in helping to improve the level of compliance throughout the firm.

• Working with assistant managers within the teams to ensure that all processes are being carried out in accordance with agreed timescales.
• Oversight of mandatory preclearance for Partner and Partner Equivalent population, alongside oversight of the helpdesk for Professional staff
• Oversight of Firm, Personal independence teams and the Financial Investment data team.
• Being the secondary escalation point for non-standard queries received within the teams, this includes understanding and applying KPMG policy (and relevant regulations and standards) and advising the team on the appropriate response.
• Ensuring breaches of personal independence requirements are identified, escalated and recorded in the correct manner.
• Providing management information on the performance of activities within the team
• Facilitating lean processes by fostering a stimulating environment for team members to make recommendations to enhance processes
• Managing key initiatives to assist with the improvement of compliance levels across the firm as and when required
• Managing the process for the collation of the annual risk metric data and ensure the teams submit the data when requested for in the annual risk metric process.
• Drive forward changes to systems and processes required due to system changes and response to regulatory change. This may include contributing to the development and testing of systems, and amending guidance if required.
• Act as performance manager for team members to ensure they have clear career paths, quality honest conversations and remain engaged and motivated.
• Lead ad-hoc projects relating to Quality and Risk Management initiatives, as required.

What will you need to do it?

• Client-focused approach with a passion for delivering excellence, capable of empathising with others and understanding the issues they face.
• Experience of application of Regulatory and Firm policy in relation to Financial investments and related compliance.
• Strong project management skills to enable identification of required tasks and deadlines and planning and prioritisation of these tasks in an appropriate manner.
• Strong communication skills – able to question effectively, listen and apply judgement.
• The ability to work autonomously, take responsibility for own and team’s work and identify issues that require escalation to a higher level
• A motivated team leader with a "can-do" and solutions focused attitude.
• Strong coaching and mentoring skills.
• Strong team-player who is both supportive and willing to help out.
• A pragmatic and logical approach to analysis and problem solving, ability to take decisions based on facts and circumstances applying principles learned.
• Extremely high level of attention to detail is essential.
• Excellent written and oral communication skills, ability to communicate with people at all levels and build relationships.
• The ability to handle sensitive/confidential information appropriately.
• Prior working experience in a compliance or audit role is a distinct advantage.

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 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