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Enabling Functions- National Quality & Risk Management
Our support team is known as Internal Services and the scope of their activities covers every one of our UK offices. The department is split into seven distinct areas: Human Resources, Go To Market, Finance & Legal, Shared Services, National Quality and Risk Management (NQRM), IT Services and Property & Corporate Services. The department is home to some 2,000 professionals who live, breathe and deliver the Deloitte experience.
Our National Quality & Risk Management department recruits into the following areas:
Anti Money Laundering
It’s important that we only do business with clients of good character, integrity and reputation, who are involved in legitimate business activities and whose wealth and funds are derived from legitimate sources. That means we need to obtain reasonable information, adequately documented and corroborated, about the identity, background, business and sources of wealth and funds of all our clients. And we need to be alert to unusual, suspicious and inconsistent activity.
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There are many other stakeholders, both internal and external, that need assurance on the management of risk and other aspects of the firm’s business – including DTT, regulators, service line risk teams and auditors of our Quality Management, Environmental Management and Information Security ISO accreditations. The Assurance practice develops and maintains the assurance framework.
We are committed to the principles of good corporate governance, including those embodied in the FRC’s Audit Firm Governance Code. Our Board is responsible for reviewing the nature and extent of (and changes to) the risks which are significant to management. In addition, our Audit Committee reviews how we identify and access business risks, provides regular assurance reports on risk and control, and evaluates the effectiveness of corrective actions. We’ve developed a business risk framework, overseen by Chief Risk Officers.
The Assurance Group carries out internal audit and monitoring projects across all aspects of the firm’s business based on a programme agreed with the Audit Committee. Projects are determined on a risk-based and thematic approach.
Conflicts may arise between the interests of two clients, between the interest of the company and the client or in obtaining a benefit from a third party in relation to the client. That’s why Compliance operates a system whereby conflicts of interest can be identified and advice offered as to how such conflicts should be addressed.
To ensure the FSA's requirements are met, our FSA Compliance professionals provide support and guidance, identifying the impact of the FSA's rules. They also help to ensure that effective procedures, systems and controls are in place.
A key area for compliance, our Independence team helps to maintain both actual and perceived independence from our clients. Independence may be affected, for example, by the services we offer to our clients or the personal interests of the firm's partners and staff.
Information & Security
Protecting the security of our people and ensuring the confidentiality, integrity and availability of confidential information is an essential task for all of us.
National Risk Management
Top-class professional advice involves judgement and therefore an awareness of and effective response to risk. The essence of effective risk management is about assessing the quality of our clients, establishing in advance what we are to be responsible for and to whom, and then ensuring that we fulfil those responsibilities while remaining alert to the challenges of the rapidly-changing environment that is our marketplace.
Under the Sarbanes-Oxley Act of 2002, non-US public accounting firms that audit or play a substantial role in the audit of US issuers are subject to oversight by the Public Company Accounting Oversight Board (the ‘PCAOB’). As auditor to clients who have a listing in the US, Deloitte LLP is registered with, and hence regulated by, the PCAOB. Public accounting firms are subject to a strict reporting framework and the information required can be far reaching – relating to our company, its associated entities, and potentially all partners, staff and contractors.