Manager, Financial Services Risk (Capital Markets)

The KPMG Advisory practice is currently our fastest growing practice. We are seeing tremendous client demand, and looking forward we don't anticipate that slowing down. In this ever-changing market environment, our professionals must be adaptable and thrive in a collaborative, team-driven culture. At KPMG, our people are our number one priority. With a wealth of learning and career development opportunities, a world-class training facility and leading market tools, we make sure our people continue to grow both professionally and personally. If you're looking for a firm with a strong team connection where you can be your whole self, have an impact, advance your skills, deepen your experiences, and have the flexibility and access to constantly find new areas of inspiration and expand your capabilities, then consider a career in Advisory.

KPMG is currently seeking a Manager/Director to join our Advisory Services practice.

Responsibilities:

• Develop frameworks and methodologies for operational and regulatory risk-management programs
• Review client's processes and controls against leading practice and industry frameworks, identify gaps in design and execution and communicate issues and recommendations to engagement leads and client management
• Plan and execute client engagements focusing Operational Risk, Operational Resilience, Regulatory Compliance, Surveillance, Conduct Risk, Third Party Risk Assessments and other risk programs
• Engage and lead in go-to-market and business development efforts, including the preparation of proposals for prospective clients and client presentations as well as provide subject matter expertise when needed
• Contribute to project management and administration, including contracting and budget management as well as managing day-to-day client relationships
• Lead and deliver small engagements, or components of large, complex engagements for capital markets organizations by guiding and overseeing the quality of the team's deliverables and providing recommendations to client senior leadership

Additional Responsibilities for Director:

• Lead and support proposal and business development activities by identifying new target clients, building business relationships with key executives and developing and presenting proposals
• Provide leadership and oversight to KPMG team members regarding deliverables, project plans and performance
• Serve as a leader in recruiting and retention efforts to develop the practice

Qualifications:

• Minimum five years of related work in a regulatory compliance and/or risk management function, capital markets organization (Asset Management Firm, Large Broker Dealer, Wealth Management Firm, Capital Markets or Asset/Wealth Management Division of a Large Diversified Bank), regulatory agency, or consulting firm
• Bachelor's degree from an accredited college/university or equivalent work experience
• Minimum two years of experience with SEC, FINRA, CFTC, NFA, or other capital markets regulator examinations, enforcement, or policy making direct work at one of these regulatory bodies is strongly preferred
• Familiarity leading and executing large or complex projects
• Proficiency in executing project management
• Strong leadership and communication skills, technical knowledge and the ability to write at a publication quality level in order to communicate findings and recommendations to the clients and senior management team
• Ability to travel as required
• Applicants must be currently authorized to work in the United States without the need for visa sponsorship now or in the future

Additional Qualifications for Director:

• Minimum eight years of related work in a regulatory compliance and/or risk management function, capital markets organization (Asset Management Firm, Large Broker Dealer, Wealth Management Firm, Capital Markets or Asset/Wealth Management Division of a Large Diversified Bank), regulatory agency, or consulting firm
• Minimum four years of experience with SEC, FINRA, CFTC, NFA, or other capital markets regulator examinations, enforcement, or policy making direct work at one of these regulatory bodies is strongly preferred
• Progressive experience leading teams and managing projects and the ability to manage a multi-disciplinary team

KPMG LLP (the U.S. member firm of KPMG International) offers a comprehensive compensation and benefits package. KPMG is an affirmative action-equal opportunity employer. KPMG complies with all applicable federal, state and local laws regarding recruitment and hiring. All qualified applicants are considered for employment without regard to race, color, religion, age, sex, sexual orientation, gender identity, national origin, disability, protected veteran status, or any other category protected by applicable federal, state or local laws. The attached link contains further information regarding the firm's compliance with federal, state and local recruitment and hiring laws. No phone calls or agencies please.

At KPMG, any partner or employee must be fully vaccinated or test negative for COVID-19 in order to go to any KPMG office, client site or KPMG event. In some circumstances, individuals who are not fully vaccinated may also be required to have a reasonable accommodation to not be fully vaccinated for COVID-19.