The Team 
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.

The Role – Manager

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:

• Front Office governance arrangements, control environments and corporate culture around dealing, investment management processes and related regulatory compliance in this area
• The development of Target Operating Models for risk and control functions cross the 3 Lines of Defence.
• 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
• 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.
• 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.
• Delivering high quality written outputs for client consumption.

The candidate will also be expected to:

• Keep up to date with industry specific issues and circumstances which affect WAM regulation
• 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 Person
Qualifications and Skills:

• Educated to degree level or equivalent.
• Professional qualification preferred (e.g. CFA, FRM, PRM), with strong knowledge of regulatory rules and guidance but crucially practical application within the WAM industry.
• Strong understanding of businesses, structures, governance frameworks, and process and control infrastructures of firms in the WAM sector.
• Strong communication skills and ability to influence and deal with senior individuals.
• Knowledge of the UK/EU regulatory environment, including the familiarisation with:
  • FCA Handbook:
    • SYSC
    • COLL
    • FUND
    • MAR
  • UCITS

Assistant Manager - IGH GRCS – KPMG - Consulting

Base Location: Manchester, plus network of 20 offices nationally: KPMG Office Locations

www.kpmg88careers.co.uk/experienced-professional/#LeBlender.OfficeLocations 

Joining KPMG means joining a talented team of exceptional colleagues who bring innovative thoughts and a natural curiosity to the work they do each day. No one type of person succeeds at KPMG; a diverse business requires diverse personalities, characters, and perspectives. There really is a place for you here.

Why Join KPMG as a Assistant Manager - IGH GRCS? 

KPMG's Governance, Risk and Compliance Services (GRCS) practice within IGH is an area of the firm with tremendous growth potential. GRCS is an integral part of our Enterprise Risk advisory practice. We provide services relating to internal audit, internal control, corporate governance, risk management and related assurance projects. Clients are based in the public sector and our services deliver added value to clients using modern control assessment, risk management and audit techniques focusing on strategic, management and operational issues as well as financial management and reporting controls. We also work closely with other consulting teams including our colleagues in Technology Risk and Cyber Risk to ensure our clients receive the best possible advice and assurance. 

What will you be doing?

•    Assurance mapping
•    Creating annual audit plans for clients•    Providing internal audit services on both outsourced and co-sourced contractual basis

•    Managing and directly delivering a programme of internal audit projects which includes planning, review, quality assurance and reporting

•    Working with a client’s in-house internal audit function for co-source engagements to supply specialist or additional resource needed
•    Process improvement projects
•    Risk management, governance and internal audit advisory services•    Risk identification workshops and control reviews
•    Delivering control and risk training
•    Managing and reviewing internal control questionnaires
•    Corporate governance reviews
•    Contract compliance audits
•    Assessing effectiveness of internal audit functions, audit committees and boards
•    Working with members of other KPMG advisory teams 
•    Business development 

What will you need to do it?

•    Assisting with the management of UK-wide portfolio of clients, maintaining relationships with senior KPMG and client staff and being responsible for the financial performance and delivery of these accounts
•    Demonstrating a detailed understanding of how current and emerging legal, regulatory, governance, risk management, auditing, accounting and financial reporting standards affect their clients•    Understanding and assisting managers to undertake KPMG's internal risk management and client engagement management procedures including client acceptance, continuance and engagement procedures

•    Keeping up to date with all industry specific issues and circumstances which affect your clients
•    Developing internal audit strategies which address all internal audit, client service and project management issues, in accordance with the KPMG internal audit methodology
•    Delivering against those audit strategies•    Recognising where specialists are req