Shenzhen/ Shanghai, QRM, Investigation / Conduct Unit, Manager

Database maintenance and data analysis

Investigators are responsible for maintaining the electronic:

· case management database to ensure accurate data entry, proper classification, and regular clean-up of records; and

· precedent list, which is a detailed record of past cases that serves as a reference point, and precedents for other assessments and outcomes.

Analyse case data statistics and and trends to flag ongoing compliance risks, escalate high-priority issues, and prepare materials for quarterly update to the DC, regular update for other stakeholders / senior management, and various regulators in Hong Kong and the PRC plus ad hoc statistical requests.

Investigators should leverage case data (including insights from investigations performed) to identify, assess and escalate potential additional risks, themes and trends with stakeholders to ensure these items are appropriately considered and addressed by the Firm or appropriate business functions.

Investigators will assist in AI adoption and application as well as developing templates to improve efficiency and quality.

Responses to internal and external requests

Investigators will support QRM / Office of General Counsel and functional risk teams in their response to enquiries and requests from regulatory authorities and law enforcement bodies on a regular basis and when needed.

Investigators will assist internal teams, for example, System of Quality Management (“SOQM”) team, in their testing and assessment of processes and controls on a frequent basis, and address their ad hoc requests when needed.

Investigation

Investigators are responsible for ensuring internal investigations arising from complaint channels such as hotlines (or otherwise reported to the Investigation Unit) are performed properly, in a timely manner and, when needed, work with the relevant business functions to identify key control gaps or deficiencies and their root causes; and develop remediation plans. Specifically with regards conducting investigations, our investigators are expected to:

· Own, direct and execute the end-to-end delivery of simple to medium risk investigations.

· Provide day-to-day leadership on simple to medium risk investigations.

· Manage both internal and/or external resources to ensure project completion within expected timeframes.

· Review and analyse allegations and complaint channel information, perform preliminary inquiries, research and analysis to assess their likely credibility, and triage the relevant risks.

· Prepare investigation plans with an appropriate investigative approach.

· Participate in the sensitive and complex interviews, prepare interview notes and other investigative work.

· Be accountable for the completion of all necessary investigative steps.

· Render prompt and constructive advice to others in the Investigation Unit, business function or support divisions on investigation matters.

· Edit reports and presentations, or conduct quality control around the presentation of investigative findings.

· Assist in articulating and presenting clearly and concisely key concerns and potential findings or risks identified related to the process investigated to key stakeholders using appropriately structured reports, table, charts etc.

· Assist senior investigation team members in the Investigation Unit, the Head of the Investigation and functional risk management leaders to ensure control weaknesses, root causes, lessons learned are appropriately identified and practical remediation plans are developed and implemented.

· Assist in developing, reviewing and updating the investigation processes to ensure they remain relevant, proportionate and aligned with latest regulatory

, internal policies and protocols, professional standards and best practices.

Investigators must have a mature and objective mindset. They must be confident working independently on their own tasks, creating quality work products and communicating with all relevant stakeholders on key issues in a succinct and logically structured manner.

An investigator will need to be capable and confident leading interviews at various staff levels within the Firm, dealing with sometimes unhappy and potentially disgruntled employees who may be emotionally sensitive as a result of circumstances they are experiencing personally and working through.

We expect our Investigators will keep up to date with the relevant legislation, guidance and practices on whistleblowing and complaint channels, plus investigative processes and practices to drive the Firm’s continuing improvement around assessment, conduct, completion and management of cases.

Experience & Background

· A Bachelor’s Degree or above in Accountancy, Finance, Business Administration, Legal, Economics, Investigative Journalism, or similar appropriate areas.

· Ideally, at least 5 years’ experience in a similar or related field, such as compliance, forensic, legal or litigation in corporations, financial services or professional services industries.

· Experience investigating fraud, misconduct and whistleblowing cases that have a substantial impact, and dealing sensitively and tactfully with reporters or complainants.

· Good knowledge of investigative concepts and processes.

· Ability to conduct investigative interviews, using techniques that establish facts and link evidence together, for simple to medium risk investigations.

· Understanding forensic and data collection processes and procedures to include the collection, examination, and analysis of all forms of data (including electronic data) while preserving its integrity and maintaining a strict chain of custody.

· Ability to document and protect extremely sensitive data in a confidential and legally appropriate manner.

· Ability to draft reports that objectively document findings gathered in a manner commensurate with the nature of the allegation and proportionate to the potential risk to the Firm.

· Comfortable interacting with colleagues at all but the senior levels.

· Result-oriented and assertive when needed (not being too shy in challenging or adversarial situations).

· Able to manage multiple tasks in a high by professional manners exercising sound judgment and stating facts.

· Ability to provide practical solutions and prioritise a diverse workload with multiple deadlines in a fast-paced environment.

· Ability to understand the needs, adapt to evolving situations, and open minded as to what has transpired in investigations.

·  Good communication skills in English and Mandarin Chinese (written and spoken).

· Proficiency in Microsoft Office products - Word, Excel, Outlook & PowerPoint for compiling written reports and spreadsheets.

· Professional certifications such as legal qualification, CPA, CFE and CFF would be an advantage.

About KPMG

At KPMG China, we are committed to being an equal opportunity employer, with zero tolerance for any form of discrimination against any persons. It is important for us to create an inclusive, diverse and agile workplace for our people to develop and thrive at both a personal and professional level.

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