Personal Ethics & Independence Operations Manager

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.

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 works 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, consulting with relevant Ethics and Independence colleagues and supporting 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, including 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 ensuring the teams submit the data when requested for inclusion in the annual risk metric process.
• Driving forward changes to systems and processes required due to system changes and response to regulatory change.
• Acting as performance manager for team members to ensure they have clear career paths, quality honest conversations and remain engaged and motivated.
• Leading 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.