Manager, Investigation, QRM - Based in Hong Kong

KPMG China; Hong Kong; On-site; HKD 750,000 - 1,100,000; Full time

Job summary

KPMG China’s Investigation Unit, within the Quality & Risk Management team, leads end-to-end investigations of misconduct with oversight by General Counsel and the Disciplinary Committee. The role involves handling sensitive interviews, drafting findings, and maintaining case databases to flag risks for regulators in Hong Kong and the PRC.

Candidates should have a Bachelor’s degree and at least 5 years in compliance, forensic, legal, or related fields, with strong English and Mandarin

Qualifications

• Bachelor’s degree or above in Accountancy, Finance, Business Administration, Legal, Economics, Investigative Journalism, or similar appropriate areas.

Responsibilities

• Own, direct and execute end-to-end delivery of simple to medium risk investigations.
• Review allegations and triage risks; prepare investigation plans and approaches.
• Participate in sensitive interviews and prepare notes and other investigative work.
• Edit reports and presentations; report to the DC and answer queries.
• Support in developing, reviewing and updating investigation processes and controls.
• Maintain the electronic case management database and analyse data statistics for regulators.

Skills

English proficiency

Mandarin proficiency

MS Office

Investigative interviewing

Education

Bachelor’s degree or above in Accountancy, Finance, Business Administration, Legal, Economics, Investigative Journalism or similar

Tools

Case management database

Job description

Service Line Overview

KPMG’s Investigation Unit sits within the Firm’s Quality & Risk Management (“QRM”) team and reports into General Counsel and/or the Firm’s Disciplinary Committee (“DC”) with respect to matters being investigated. The Investigation Unit is responsible for investigating all reported and suspected cases of misconduct.

KPMG’s Investigation Unit sits within the Firm’s Quality & Risk Management (“QRM”) team and reports into General Counsel and/or the Firm’s Disciplinary Committee (“DC”) with respect to matters being investigated. The Investigation Unit is responsible for investigating all reported and suspected cases of misconduct.

Key Responsibilities

• Own, direct and execute the end-to-end delivery of simple to medium risk investigations. Manage both internal and/or external resources to ensure project completion within expected timeframes.
• Review and analyse allegations and complaint channel information, perform preliminary inquiries, research and analysis to assess their likely credibility, and triage the relevant risks. Prepare investigation plans with an appropriate investigative approach.
• Participate in the sensitive and complex interviews, prepare interview notes and other investigative work.
• Edit reports and presentations, or conduct quality control around the presentation of investigative findings; regularly reporting back to, and answering any queries as raised by the DC.
• Assist senior investigation team members and functional risk management leaders to ensure control weaknesses, root causes, lessons learned are appropriately identified and practical remediation plans are developed and implemented.
• Assist in developing, reviewing and updating the investigation processes to ensure they remain relevant, proportionate and aligned with latest regulatory requirements, internal policies and protocols, professional standards and best practices.
• Maintain the electronic case management database and precedent list. Analyse case data statistics and trends to flag ongoing compliance risks, elevate high-priority issues, and prepare materials for the DC, other stakeholders / senior management, and regulators in Hong Kong and the PRC.
• Support QRM / Office of General Counsel and functional risk teams in their response to enquiries and requests from regulatory authorities and law enforcement bodies. Assist internal teams in their testing and assessment of processes and controls.
• Assist in AI adoption and application as well as developing templates to improve efficiency and quality.

Experience & Background

• A Bachelor’s Degree or above in Accountancy, Finance, Business Administration, Legal, Economics, Investigative Journalism, or similar appropriate areas.
• Ideally, at least 5 years’ experience in a similar or related field, such as compliance, forensic, legal or litigation in corporations, financial services or professional services industries.
• Experience investigating fraud, misconduct and whistleblowing cases that have a substantial impact, and dealing sensitively and tactfully with reporters or complainants.
• Good knowledge of investigative concepts and processes. Ability to conduct investigative interviews, using techniques that establish facts and link evidence together, for simple to medium risk investigations.
• Understanding forensic and data collection processes and procedures while preserving data integrity and maintaining a strict chain of custody. Ability to document and protect extremely sensitive data in a confidential and legally appropriate manner.
• Ability to draft reports that objectively document findings gathered in a manner commensurate with the nature of the allegation and proportionate to the potential risk to the Firm.
• Comfortable interacting with colleagues at all but the senior levels.
• Ability to provide practical solutions and prioritise a diverse workload with multiple deadlines in a fast-paced environment.
• Good communication skills in English and Mandarin Chinese (written and spoken).
• Proficiency in Microsoft Office products - Word, Excel, Outlook & PowerPoint for compiling written reports and spreadsheets.
• Professional certifications such as legal qualification, CPA, CFE and CFF would be an advantage.

About KPMG

At KPMG China, we are committed to being an equal opportunity employer, with zero tolerance for any form of discrimination against any persons. It is important for us to create an inclusive, diverse and agile workplace for our people to develop and thrive at both a personal and professional level.

We strive to make ESG (environmental, social and governance) a watermark running through our organisation; from empowering our people to become agents of positive change, to providing better solutions and services to our clients to help them achieve their ESG goals. View Our Impact Plan to learn more about our ESG commitments and progress across four key pillars - Governance, People, Planet and Prosperity - and how we make a positive impact on our people, environment and society.

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