Senior Associate, FS Regulatory & Compliance

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 an Associate/Senior Associate in Risk & Compliance - FS Regulatory & Compliance for our Consulting practice.

Responsibilities:

• Assist clients in performing reviews of swap dealers based on OTC Derivatives Title VII
• Assist clients in interpreting and implementing CFTC and NFA rules, specifically financial and operational issues affecting FCMs and/or SDs, CFTC reporting and capital rules, and CFTC segregation rules
• Assist clients in interpreting and implementing compliance and risk governance programs in accordance with CFTC regulations
• Focus on assisting capital markets firms in managing regulatory risks
• Develop comprehensive regulatory compliance and supervisory controls, including WSPs and detailed policies and procedures
• Identify opportunities for enhancements to existing internal controls utilized by the client to manage their regulatory risks

Additional Responsibilities for Senior Associate:

• Supervise and mentor associates, new hires, and interns on engagements
• Serve as a liaison between clients and upper management
• Identify and communicate technical matters to both clients and upper management
• Assist with project planning, development of deliverables, and other technical writing exercises

Qualifications:

• A minimum of one year of experience as a regulator, or work experience in the futures and derivatives industries
• Knowledge of CFTC and NFA rules
• Knowledge of financial and operational issues affecting FCMs and/or SDs
• Knowledge of CFTC reporting and capital rules and CFTC Segregation rules
• Bachelor s degree from an accredited college/university
• Excellent verbal and written communication skills
• 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 Senior Associate:

• A minimum of three years of related work and project management experience
• Well-established understanding of business dynamics and regulations

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 employee, partner or contractor must be fully vaccinated or have a reasonable accommodation for COVID-19 in order to go to any KPMG office, or to work on or in association with a federal contract (unless prohibited by applicable law).