Senior Compliance Auditor

ZipRecruiter; Leeds; On-site; GBP 45,000 - 60,000; Full time

Job summary

A leading consultancy firm seeks a Senior Compliance Auditor for a 12-month FTC. The role involves conducting personal compliance audits, ensuring financial details are accurately reported, and supporting Partners and Directors. Ideal candidates will have strong communication skills, attention to detail, and the ability to work independently. This position offers a chance to make a significant impact within a respected organization.

Qualifications

• Ability to work independently and ensure work quality.
• Client-focused with a passion for high-quality service.
• Experience in a professional services firm is advantageous.

Responsibilities

• Conduct personal compliance audits related to financial arrangements.
• Supervise data gathering, collation, and review outputs.
• Track progress and report to team leader.

Skills

Time Management

Communication

Attention to Detail

Tools

Microsoft Office

Job description

Job Description

Senior Compliance Auditor (12 month FTC)

Base Location: Birmingham or 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 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

The Partner Independence team is part of the wider Ethics & Independence (“E&I”) team within Quality and Risk Management. The E&I team develops and deploys policies, procedures, and guidance on Ethics and Independence (firm, personal, and service-related) to ensure compliance with regulatory and KPMG International requirements. They also facilitate communication and training on these policies and provide guidance to Partners and staff on all E&I matters.

The Partner Independence team supports and guides KPMG’s Partners and Directors, ensuring personal independence compliance by maintaining accurate personal compliance records in line with policies and procedures concerning personal financial affairs.

What will you be doing?

This role involves supporting Partners and Directors through the personal compliance audit process.

You will autonomously conduct personal compliance audits related to the financial arrangements (mainly investments) held by Partners, Directors, and their family members. You will handle a high volume of audits, focusing on quality and working within strict timelines.

The audits aim to ensure financial details are accurately reported in our compliance system and cross-checked against current documentation. You will consult with your team leader if anomalies are identified. Responsibilities include supervising data gathering, collation, checking, reviewing outputs, and escalating issues appropriately and promptly.

The role also includes other key responsibilities and tasks beyond the audits.

• Develop understanding of investment products and their relation to independence requirements, handling complex and sensitive queries.
• Conduct audits by reviewing information and documents, liaising with Partners and Senior Leaders regarding investments, and recording information accurately in systems.
• Track progress, report regularly to the team leader, and escalate breaches of regulation or policy as per procedures.
• Support the team with ad hoc tasks as needed.

What will you need to do it?

• Ability to work independently and ensure work quality.
• Strong time management skills to prioritize tasks and meet deadlines.
• Supportive team-player with a collaborative approach.
• Client-focused with a passion for high-quality service.
• Excellent communication skills, capable of engaging at all senior levels and building relationships.
• Ability to interpret information, identify issues, and escalate appropriately.
• Work well under pressure.
• High attention to detail.
• Handle sensitive/confidential information with discretion.
• Confidence to challenge the status quo and suggest ideas.
• Proficient in Microsoft Office applications.
• Experience in a professional services firm and understanding of investment products is advantageous but not essential, as training will be provided.

To discuss this or other Central Services roles, apply by creating a profile, uploading your CV, and making your mark with KPMG.

Find out more:

Within Central Services, we have various divisions and specialisms. Click the links below:

• Central Services (KBS) at KPMG: www.kpmgcareers.co.uk/experienced
• Inclusivity and KPMG: www.kpmgcareers.co.uk/people
• KPMG Workability and confidence: www.kpmgcareers.co.uk/experienced

For additional support in applying, visit:

• Applying to KPMG: www.kpmgcareers.co.uk/experienced
• Tips for interview: www.kpmgcareers.co.uk/experienced
• KPMG values: www.kpmgcareers.co.uk/experienced
• KPMG Competencies: www.kpmgcareers.co.uk/experienced
• KPMG Locations and FAQ: www.kpmgcareers.co.uk/faq/?category=Experienced+professionals