Compliance Assistant - Restructuring Compliance Assistant - Restructuring …

in Watford, England, United Kingdom
Permanent, Full time
Last application, 27 Sep 19
Competitive plus benefits
in Watford, England, United Kingdom
Permanent, Full time
Last application, 27 Sep 19
Competitive plus benefits
This role has responsibility for supporting the team of resolvers who identify and assist with the management of potential conflicts of interest with proposed engagements within the global network of KPMG member firms. In addition to clearing requests to team undertake a number of other processes regarding using data, to enable the firm to be compliant with auditor independence rules. You will have responsibility for supporting the day to day operation of the team to ensure all engagements are reviewed for potential conflicts of interest and cleared in accordance with policies and procedures and in line with service level agreements.

Key Responsibilities

The key responsibilities are as follows:

• Deputising for and supporting the Sentinel Manager during periods of absence/project work
• Assist with ongoing training and development of the Sentinel team
• Ensuring no professional engagement is undertaken by KPMG which creates an unmanageable conflict of interest through the review of Sentinel request
• Working with engagement teams to ensure that steps are taken to manage conflicts identified, whilst protecting client confidentiality
• Participating on the Sentinel helpline to answer phone and email queries in relation the Sentinel system, conflicts of interest and the progress of engagement requests
• Liaising with global conflict resolvers, UK client facing teams and Quality and Risk Management professionals to manage conflicts of interest on cross-border engagements
• Liaising with functional risk management in order to reach comprehensive decisions in relations to contentious conflicts of interest identified
• Undertaking certain compliance processes associated with the Sentinel system to ensure the data it contains is up to date and accurate as well as checking the quality of work  performed by other team members
• Monitor the process for following up on engagements that have been associated with a SAN that is no longer valid.
• Providing support, including holiday cover, across the team and acting as an escalation point to the team on complex mailbox queries.
• Developing awareness/familiarity of the relevant firm’s compliance policies, auditor independence rules, conflict of interest rules and systems that support the Sentinel procedures  to become a subject matter expert.

The Person – Skills, Qualifications and Behaviours

• Sound organisational and analytical skills with the ability to prioritise efficiently, work well under pressure and identify issues that require escalation to a higher level.
• The ability and willingness to work autonomously and take responsibility for own work.
• Strong team-player who is both supportive and willing to help out with experience of managing a small team.
• Client-focused approach with a passion for delivering excellence, capable of empathising with others and understanding the issues they face.
• Excellent written and oral communication skills, ability to communicate with people at all levels and build relationships.
• A pragmatic and logical approach to analysis and problem solving, ability to take decisions based on facts and circumstances applying principles learned.
• Broad understanding of the different services provided by the Firm
• The ability to interpret complex 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.
• Confident user of Microsoft Office applications and internet-based research tools.
• Prior working experience for a professional services firm and/or understanding of conflict of interest are a distinct advantage, although training will be given.