Senior Analyst, Compliance and Risk Management
Overview
At KPMG, you’ll join a team of diverse and dedicated problem solvers, connected by a common cause turning insight into opportunity for clients and communities around the world.
Our Compliance & Risk Management Group in Business Enablement Services is looking for an Analyst, Risk Management, to join our growing team. The Compliance & Risk Management Group helps ensure the firm and its personnel are in compliance with Professional, Regulatory, and KPMG Global policies and standards. This role focuses on monitoring for compliance with standards and policies pertaining to personal independence, including those established by the Securities and Exchange Commission (SEC), Public Company Accounting Oversight Board (PCAOB), CPA Code of Professional Conduct (CPA Code), IESBA Code of Ethics for Professional Accountants (IESBA Code) and American Institute of Certified Public Accountants (AICPA).
What You Will Do
- Understanding of KPMG internal policies related to risk management and audit training through reading and interpreting the rules as well as our internal risk management manual
- Identifying the population that requires training and compliance confirmation (new joiners and existing employees)
- Administering training to the required individuals, provide support during compliance training launches (including content development and roll out)
- Monitoring training and compliance confirmation completion entails sending timely reminders to individuals; and in cases of non-compliance sending escalations to higher authorities, as required
- Maintaining a record of non-compliances and exceptions to the process
- Maintaining defensible documentation to support regulatory inquiries
- Assisting with data gathering requests and responding to queries received from regulators and internal auditors
- Responding to and resolving queries received in the functional mailbox
- Testing of new training prior to launch
- Updating, testing and launching Compliance Confirmation questionnaires in the Compliance Questionnaire System (CQS)
- Troubleshooting System issues, if any, and liaising with Global CQS Team or Learning Management System Team to resolve the issues
- Reviewing evidence collected from the Firm’s Exam Monitoring Programs, analyze results and observations, monitoring for compliance with Professional, Regulatory and KPMG policies and standards.
- Support compliance manager in data analysis to identify compliance trends and potential non-compliance.
- Assisting with preparing technical alerts, guidance, and other deliverables for distribution across the firm;
- Assisting with the identification of process enhancements and improvements
- Providing support with ad-hoc project work
- Effectively managing multiple tasks on parallel projects
- College or university degree in a relevant field, or a combination of education and relevant experience
- Some experience working in a fast-paced environment, understanding client needs, ability to build and maintain professional relationships, working in a team environment to deliver on targets/goals
- Ability to quickly adapt to new systems and processes
- Self-motivated, diligent, able to respond promptly and professionally to all requests and inquiries
- Strong attention to detail and excellent problem-solving skills
- Excellent written and verbal communication skills
- Reliable, dependable and ability to meet tight deadlines while working under pressure
- Takes initiative and has strong organizational, research, and analytical skills
- Excellent time management and communication skills
- The ability to handle sensitive/confidential information appropriately.
- Proficient with Word, Excel, Outlook, Teams
- Be aware of the sensitivity of information received and treat it appropriately
- Proficiency in English at a business level is required.
The expected base salary range for this position is $53,000 to $79,500 and may be eligible for bonus awards. The determination of an applicant’s base salary within this range is based on the individual’s location, skills & competencies, and unique qualifications. In addition, KPMG offers a comprehensive and competitive Total Rewards program
Providing you with the support you need to be at your best
Our Values, The KPMG Way
Integrity, we do what is right | Excellence, we never stop learning and improving | Courage, we think and act boldly | Together, we respect each other and draw strength from our differences | For Better, we do what matters
KPMG in Canada is a proud equal opportunities employer and we are committed to creating a respectful, inclusive and barrier-free workplace that allows all of our people to reach their full potential. A diverse workforce is key to our success and we believe in bringing your whole self to work. We welcome all qualified candidates to apply and hope you will choose KPMG in Canada as your employer of choice.
Adjustments and accommodations throughout the recruitment process
At KPMG, we are committed to fostering an inclusive recruitment process where all candidates can be themselves and excel. We aim to provide a positive experience and are prepared to offer adjustments or accommodations to help you perform at your best. Adjustments (informal requests), such as extra preparation time or the option for micro breaks during interviews, and accommodations (formal requests), such as accessible communication supports or technology aids, are tailored to individual needs and role requirements. You will have an opportunity to request an adjustment or accommodation at any point throughout the recruitment process. If you require support, please contact KPMG’s Employee Relations Service team by calling 1-888-466-4778.
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