Senior Compliance Auditor

TN United Kingdom; Leeds; On-site; GBP 40,000 - 70,000; Full time

Job summary

Join a leading consultancy firm as a Senior Compliance Analyst, where you will play a pivotal role in ensuring compliance with ethical standards. This role involves conducting audits related to personal financial arrangements for Partners and Directors, requiring a keen eye for detail and strong communication skills. You'll work autonomously while collaborating with a supportive team, managing high volumes of audits within strict timelines. With a focus on quality and excellence, this position offers an exciting opportunity to contribute to a respected organization committed to integrity and compliance.

Qualifications

• Ability to manage audits related to personal financial arrangements.
• Strong understanding of investment products and compliance requirements.

Responsibilities

• Support Partners and Directors through personal compliance audits.
• Conduct audits and ensure accuracy of financial arrangements.

Skills

Audit Management

Communication Skills

Time Management

Client-Focused Approach

Microsoft Office

Education

Degree in Finance or Business

Professional Services Experience

Job description

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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.

Our teams include HR and Learning, Finance, Procurement, Facilities and Business Support, Risk and Legal, Corporate Affairs, and Sales and Marketing. Our approach focuses on driving the improved performance of the firm, supported by diligence and expertise.

KPMG is one of the world's largest and most respected consultancy firms. We have supported the UK through times of war and peace, prosperity and recession, political and regulatory upheaval. We are proud to stand beside the institutions and businesses that 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 and is within Quality and Risk Management. The E&I team develops and implements policies, procedures, and guidance on Ethics and Independence to ensure compliance with regulatory and KPMG International requirements. We also facilitate communication and training on these policies and provide guidance to Partners and staff on all E&I matters.

The team supports and guides KPMG’s Partners and Directors, ensuring personal independence compliance by helping them maintain accurate records of their personal financial affairs in line with policies and procedures.

What will you be doing?

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

You will independently undertake audits related to personal financial arrangements, mainly investments, held by our Partners, Directors, and their family members. You will manage a high volume of audits with a focus on quality within strict timelines.

The audits aim to ensure the accuracy of financial arrangements reported in our compliance system, cross-checking against current documentation. You will consult with your team leader when anomalies arise and supervise data gathering, review, and escalation of issues.

Additional responsibilities include:

• Developing understanding of investment products and their relation to independence requirements, handling complex queries.
• Conducting audits by reviewing information, liaising with Partners and Senior Leaders, and recording data accurately.
• Tracking progress and reporting to the team leader, escalating breaches as per process.
• Supporting the team with ad hoc tasks as required.

What will you need to do it?

• Work autonomously and ensure work quality.
• Manage time effectively to meet deadlines.
• Be a supportive team player in a collaborative environment.
• Have a client-focused approach with a passion for excellence.
• Possess excellent communication skills at all levels.
• Interpret information, identify issues, and escalate appropriately.
• Work well under pressure and handle sensitive information discreetly.
• Challenge the status quo and contribute new ideas.
• Have strong knowledge of Microsoft Office.
• Experience in a professional services firm and understanding of investment products are advantageous but not essential; full 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:

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