Manager, Markets 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 a Manager to join our Advisory Services practice,with a specific emphasis on candidates who have prior experience at the Securities and Exchange Commission (SEC) in the Division of Enforcement or Examinations. This role involves working on complex regulatory compliance, risk management and client advisory projects within the capital markets sector.

• Plan and execute client engagements focusing on Regulatory Compliance, Supervision, Surveillance, Conduct Risk, Operational Risk, Operational Resilience, Third Party Risk Assessments and other risk programs
• Develop and implement frameworks and methodologies for compliance, supervisory, operational and regulatory risk-management programs
• Assess client policies, procedures, processes and controls against leading practice and industry frameworks, identifying gaps in design and execution and presenting actionable recommendations to engagement leads and client management
• Participate in business development activities, including crafting proposals for prospective clients, delivering presentations and providing 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

• Minimum of five (5) years of related work in a regulatory compliance and/or risk management function, capital markets organization (Asset Management Firm/Investment Adviser, Broker Dealer, Wealth Management Firm, Swap Dealer, Securities-based Swap Dealer, Capital Markets or Asset/Wealth Management Division of a Large Diversified Bank), regulatory agency, or consulting firm
• Minimum of two (2) years of experience with SEC, FINRA, CFTC, NFA, or other capital markets regulators, with a strong preference for candidates who have worked in the Division of Enforcement or Examinations at the SEC
• Bachelor's degree from an accredited college/university or equivalent work experience
• Demonstrated ability to lead and execute large or complex projects
• Proven proficiency in project management
• Strong leadership, communication, and technical writing skills, with the capability to convey insights and recommendations clearly to clients and senior management
• Ability to travel as required
• Must be authorized to work in the U.S. without the need for employment-based visa sponsorship now or in the future. KPMG LLP will not sponsor applicants for U.S. work visa status for this opportunity (no sponsorship is available for H-1B, L-1, TN, O-1, E-3, H-1B1, F-1, J-1, OPT, CPT or any other employment-based visa)

KPMG complies with all local/state regulations regarding displaying salary ranges. If required, the ranges displayed below or via the URL below are specifically for those potential hires who will work in the location(s) listed. Any offered salary is determined based on relevant factors such as applicant's skills, job responsibilities, prior relevant experience, certain degrees and certifications and market considerations. In addition, the firm is proud to offer a comprehensive, competitive benefits package, with options designed to help you make the best decisions for yourself, your family, and your lifestyle.

Available benefits are based on eligibility. Our Total Rewards package includes a variety of medical and…