KPMG US
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Manager, Markets Compliance
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KPMG US 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. Responsibilities
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 Qualifications
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 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 dental plans, vision coverage, disability and life insurance, 401(k) plans, and a robust suite of personal well-being benefits to support your mental health. Depending on job classification, standard work hours, and years of service, KPMG provides Personal Time Off per fiscal year. Additionally, each year the firm publishes a calendar of holidays to be observed during the year and provides two firmwide breaks each year where employees will not be required to use Personal Time Off; one is at year end and the other around the July 4th holiday. Additional details about our benefits can be found towards the bottom of our KPMG US Careers site at “Benefits & How We Work”. Follow this link to obtain salary ranges by city outside of CA: https://kpmg.com/us/en/how-we-work/pay-transparency.html/?id=M113_3_25 KPMG LLP (the U.S. member firm of KPMG International) offers a comprehensive compensation and benefits package. KPMG is an 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, citizenship status, disability, protected veteran status, or any other category protected by applicable federal, state or local laws. No phone calls or agencies please. KPMG does not currently require partners or employees to be fully vaccinated or test negative for COVID-19 in order to go to KPMG offices, client sites or KPMG events, except when mandated by federal, state or local law. In some circumstances, clients also may require proof of vaccination or testing (e.g., to go to the client site). KPMG recruits on a rolling basis. Candidates are considered as they apply, until the opportunity is filled. Candidates are encouraged to apply expeditiously to any role(s) for which they are qualified that is also of interest to them. Los Angeles County applicants: Material job duties for this position are listed above. Criminal history may have a direct, adverse, and negative relationship with some of the material job duties of this position. Pursuant to the California Fair Chance Act, Los Angeles County Fair Chance Ordinance for Employers, Fair Chance Initiative for Hiring Ordinance, and San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. Seniority level
Mid-Senior level Employment type
Full-time Job function
General Business Referrals increase your chances of interviewing at KPMG US by 2x Atlanta, GA
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Manager, Markets Compliance
role at
KPMG US 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. Responsibilities
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 Qualifications
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 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 dental plans, vision coverage, disability and life insurance, 401(k) plans, and a robust suite of personal well-being benefits to support your mental health. Depending on job classification, standard work hours, and years of service, KPMG provides Personal Time Off per fiscal year. Additionally, each year the firm publishes a calendar of holidays to be observed during the year and provides two firmwide breaks each year where employees will not be required to use Personal Time Off; one is at year end and the other around the July 4th holiday. Additional details about our benefits can be found towards the bottom of our KPMG US Careers site at “Benefits & How We Work”. Follow this link to obtain salary ranges by city outside of CA: https://kpmg.com/us/en/how-we-work/pay-transparency.html/?id=M113_3_25 KPMG LLP (the U.S. member firm of KPMG International) offers a comprehensive compensation and benefits package. KPMG is an 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, citizenship status, disability, protected veteran status, or any other category protected by applicable federal, state or local laws. No phone calls or agencies please. KPMG does not currently require partners or employees to be fully vaccinated or test negative for COVID-19 in order to go to KPMG offices, client sites or KPMG events, except when mandated by federal, state or local law. In some circumstances, clients also may require proof of vaccination or testing (e.g., to go to the client site). KPMG recruits on a rolling basis. Candidates are considered as they apply, until the opportunity is filled. Candidates are encouraged to apply expeditiously to any role(s) for which they are qualified that is also of interest to them. Los Angeles County applicants: Material job duties for this position are listed above. Criminal history may have a direct, adverse, and negative relationship with some of the material job duties of this position. Pursuant to the California Fair Chance Act, Los Angeles County Fair Chance Ordinance for Employers, Fair Chance Initiative for Hiring Ordinance, and San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. Seniority level
Mid-Senior level Employment type
Full-time Job function
General Business Referrals increase your chances of interviewing at KPMG US by 2x Atlanta, GA
#J-18808-Ljbffr