Manager, FS Regulatory & Compliance Risk (Broker Dealer)

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 in Risk & Compliance - FS Regulatory & Compliance for our Consulting practice.

Responsibilities:

• Provide technology compliance advisory services to capital markets institutions
• Assist clients with front office technology, in particular with equities or options trading platforms, compliance technology and regulatory reporting in broker dealer and SRO environment
• Develop and execute go to market strategies related to regulatory reform initiatives, including trading and markets regulation
• Participate in business development and relationship management efforts, write and present clear and concise reports and presentations containing meaningful recommendations
• Contribute professional articles to industry and regulatory publications, write white papers on regulatory issues and developments, prepare regulatory practice letters addressing current developments
• Take a lead role in the development and implementation of new compliance methodologies and protocols as laws change and new regulations emerge

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:

• A minimum of five years of related work experience in technology compliance
• Bachelor's degree from an accredited college/university
• Experience with OATS, Electronic bluesheets, and/or LOPR preferred
• Strong technical knowledge of regulatory requirements and understanding of trading rules such as Reg M, Trade Reporting, Reg SHO, and other trading related regulations
• Experience in managing projects and teams to successful outcomes
• Travel may be up to 80-100%
• 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:

• A minimum of eight years of experience in advisory services or project management or applicable industry experience
• Progressive experience leading teams and managing projects and the ability to manage a multi-disciplinary team
• Excellent interpersonal skills with a demonstrated ability to gain the confidence and respect of various levels

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.