Control Assurance and Process Manager

Manager

The role provides assurance to senior leadership and regulators that controls are appropriately designed, implemented and operating effectively, supported by robust, inspection ready evidence and conclusions

Key responsibilities and accountabilities:

The CAP Manager will support testers in planning and reviewing control testing. This includes ensuring sufficient evidence is obtained, that testing is documented clearly, accurately and concisely within the KQCE tool (based on KPMG Clara), and that findings and actions are agreed with relevant stakeholders and recorded in the KPMG Issues Management (KIM) system. The role also includes helping identify root causes of findings and critically assessing whether proposed remediation actions will address them effectively. The Manager will contribute to reporting for senior stakeholders.

The role requires a strong understanding of relevant policies, controls and methodologies, including the SoQM. It also requires consistent application of firm-wide policies and procedures, together with compliance with the CAP team’s own SoQM controls. As the policies, processes and controls subject to testing are often complex, the Manager must apply critical thinking and professional scepticism to assess whether evidence demonstrates that controls have operated as intended and can be concluded on with confidence.

Quality of output is critical. Managers must ensure test work is clearly documented, accurate, concise and aligned to the KPMG SoQM Methodology or other relevant guidance. Managers are jointly responsible, alongside testers, for producing inspection ready workpapers that support clear, well-evidenced conclusions.

Each Manager also takes responsibility within the team for development and delivery of other ad-hoc or ongoing areas such as overall programme management, the evaluation process, providing process/guidance for the team and liaising with other groups to solve practical problems that may arise.

The role also requires the ability to distil complex testing outcomes into clear, high level messages for senior stakeholders.

The role is also likely to include performance management responsibilities, with a focus on motivating, coaching and developing team members.

Stakeholder interaction and leadership

The CAP Manager will regularly engage with Director-level and above stakeholders across the business, including Risk Management, Engagement Teams and Engagement Leaders, DPP, Ethics & Independence, and People. The role requires confidence and credibility to challenge Partners and senior personnel, ask probing questions, apply judgement to the responses received, and see matters through to resolution.

Managers are accountable for the quality of output produced by the testers they work with, ensuring it is appropriately reviewed and fully aligned to the KPMG SoQM Methodology. Some working papers may be subject to a further level of review by more senior team members.

The role provides opportunities to lead discrete projects within the CAP team, take ownership of different areas of the SoQM programme, and increase involvement in more complex testing areas, reporting to senior management, and supervision of team members.

What this role offers

This role offers strong personal development opportunities, including:

Deep understanding of key risk areas, policies and central processes that underpin the quality of engagements performed by the Firm.

Experience of planning and reviewing the testing and evaluation of complex controls in a highly regulated and scrutinised environment.

Direct input into the continuous improvement of the Firm’s SoQM, both in relation to controls and the testing approach.

The opportunity to focus on one organisation, allowing greater depth of technical and contextual understanding.

Regular exposure to, and interaction with, senior stakeholders across the business.

The potential to become a subject matter contact within the CAP team for specific areas of the SoQM or risk framework.

 

Essential:

Experience Level

Mid Level