Tuesday , January 31 2023

Jobs at KPMG – Risk and Regulatory WAM Manager

Website KPMG

Job Description:

Our Risk and Regulatory practice provides advisory services to assist leading organisations in the Wealth and Asset Management (“WAM”) sector. KPMG has a proven track record of helping clients in this area, and we have significant growth plans in this sector given the opportunities arising from a substantive regulatory agenda, an evolving and increasingly complex risk management environment, and a need to transform risk and compliance capability.

The Risk and Regulatory team possess a variety of core assurance and advisory skills and have considerable industry knowledge and specialist expertise of the UK and EU regulatory environment.

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Job Responsibilities:

Advising clients on key areas of risk and regulatory compliance within the WAM sector and the challenges that changing regulation has on their business models. This role has a specific focus on front office controls and trading oversight. This will include supporting clients on the following areas:

  • Reviewing, developing, and implementing risk monitoring capability aligned to the investment teams and dealing desks
  • Conflicts of interest management across the front office including the use of related technology in this area. Developing best practice control and oversight around COBS compliance
  • Delivering high quality written outputs for client consumption.
  • Keep up to date with industry specific issues and circumstances which affect WAM regulation
  • Pre/Post regulatory implementation health checks
  • Delivering client engagements, working in both small sized teams and larger, multi-disciplinary teams. This would include the whole engagement lifecycle: Planning to completion and reporting directly to the engagement Director and Partner
  • The review and development of market surveillance programmes including market abuse frameworks and related technology in this area
  • Supporting regulatory change and implementation programmes with a specific focus on the front office, investment solutions and dealing
  • Prepare presentations and lead internal training
  • Develop propositions and points of view around the risk and control environments within the Front Office, dealing and trading oversight teams.
  • Delivering Section 166 reviews and reporting to the FCA as part of a wider team
  • Providing advice regarding regulatory requirements affecting the WAM sector
  • Front Office governance arrangements, control environments and corporate culture around dealing, investment management processes and related regulatory compliance in this area
  • The development of structural models around 1.5 lines of defence

Job Requirements:

  • Strong communication skills and ability to influence and deal with senior individuals.
  • Educated to degree level or equivalent.
  • Professional qualification preferred, with strong knowledge of regulatory rules and guidance but crucially practical application within the WAM industry.
  • Experience in a financial service role with specific experience in a risk or regulatory role
  • The ability to evaluate technical issues, analyse facts, consult and deliver solutions to clients.
  • Experience in working with teams and the ability to work independently.
  • Strong understanding of businesses, structures, governance frameworks, and process and control infrastructures of firms in the WAM sector.
  • Excellent communication and presentation skills, including an ability to communicate well with clients (internal and external) in writing and verbally.
  • Understanding of regulatory developments and key current issues facing clients.

Job Details:

Company: KPMG

Vacancy Type: Full Time

Job Location: London, England, UK

Application Deadline: N/A

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