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.
- 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
- 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.
- 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
- Delivering high quality written outputs for client consumption.
- Keep up to date with industry specific issues and circumstances which affect WAM regulation
- 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
- 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
- Delivering Section 166 reviews and reporting to the FCA as part of a wider team
- Providing advice regarding regulatory requirements affecting the WAM sector
- 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 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.
- 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.
Vacancy Type: Full Time
Job Location: Manchester, England, UK
Application Deadline: N/A