Job description
Role Description: January 2022

Role

Personal Ethics & Independence Operations Manager

Function

Risk Operations Group (ROG), OEH, KBS

Grade

C    PERM ROLE

Location

UK, Watford

 
Background
The Personal Ethics and Independence (E&I) team are part of the Quality and Risk Management and sit within the OEH (Operational Excellence Hubs). The Personal E&I team is responsible for developing and deploying appropriate policy, procedure and guidance on Personal Ethics and Independence (firm, personal and service-related) to ensure compliance with regulatory and KPMG International requirements, ensuring an adequate programme of communication and training in respect of those policies and procedures is in place and providing guidance and advice to Partners and staff on all E&I matters.
The Personal Independence team are responsible for providing guidance and advice to Partners and the firm's personnel on personal E&I matters and play an important role in running related processes and procedures to ensure compliance. The Partner Independence team part of the wider Personal Independence team work directly with the firm's Partners helping them to comply with the policies and procedures in relation to their personal investments.
 
The Role
We are looking for an experienced E&I manager who will have shared responsibility for managing six teams, who have accountability for Partner, colleague and firm independence and data maintenance. The role has line manager responsibility for three of the six teams.
You will manage the overall day to day operation of the three teams, performance manage the senior colleagues in the assigned teams, consult with relevant E&I colleagues and support senior management in helping to improve the level of compliance throughout the firm.
You will have the opportunity to cross train to enable you to cover the remaining teams on a adhoc basis where required, but primarily to build your knowledge and business acumen across the entire Personal Affairs teams as all of the teams are linked so closely.
 
Key Responsibilities
The key responsibilities are as follows:
Working with assistant managers within the teams to ensure that all processes are being carried out in accordance with agreed timescales.
Being the secondary escalation point for non-standard queries received within the teams, this includes 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 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 ensure the teams submit the data when requested for inclusion in the annual risk metric process.
Drive forward changes to systems and processes required due to system changes and response to regulatory change. This may include contributing to the development and testing of systems, and amending guidance as required.
Act as performance manager for team members to ensure they have clear career paths, quality honest conversations and remain engaged and motivated.
Lead ad-hoc projects relating to Quality and Risk Management initiatives, as required.
 
The Person - Skills, Qualifications and Behaviours

• Client-focused approach with a passion for delivering excellence, capable of empathising with others and understanding the issues they face.
• Strong communication skills - able to question effectively, listen and apply judgement.
• Strong project management skills to enable identification of required tasks and deadlines and planning and prioritisation of these tasks in an appropriate manner.
• 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.
• Excellent knowledge of E&I regulation, policy, and process.