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

IRI – D grade – IT

Note: This role is available across all our UK offices

At KPMG, our values define who we are and the way we do business. As a leading professional services firm, we know that our strength and capability comes from our people – their different perspectives, experiences and backgrounds. From our inclusive leadership strategy to our diversity and inclusion targets – we’re making bold changes to who we are and what we do. Be part of it.

KPMG’s Incentives, Reliefs & Innovations team is made up of tax, engineering, science, and technology specialists delivering expert advice to a broad range of clients across almost every industry sector. As one of the largest teams in the industry, our continued investment in innovation advisory means that we seek information technology specialists to join us on the next exciting phase of our growth.

Our team works with clients from owner managed business, to large multinational organisation, and we are looking for an Assistant Manager with a strong information technology background to assist clients across a suite of innovation advisory services including R&D tax credits, Patent Box, R&D Allowances, Grants and Innovation Advisory services. This is an excellent opportunity for someone with an Honour/Post Graduate degree in Information Technology discipline that either has industry experience or a working knowledge of the R&D tax legislation, and its application to information technology activities. 

Role and Responsibilities:

• Working with project teams to develop the technical approach and deliver R&D tax relief claims for submission to HMRC. This will include taking some responsibility and accountability with respect of managing the delivery of the claims.
• Lead/Co-lead meetings with the senior IT technical and financial client stakeholders; and provide expert advice in relation to innovation advisory services (R&D, Patent Box, Grant Applications).
• Write accurate and substantive technical project reports to support R&D tax claims for our clients R&D projects. This will include reviewing technical reports written by junior colleagues.
• Prepare (and/or manage the process for preparing) both the technical and financial elements of our client deliverables. This will include reports documenting the work being undertaken by our clients within technically complex IT projects for submission to HMRC/ Funding Organisations; and working with KPMG tax/costing colleagues and client staff to ensure correct quantification of R&D/PB claims.
•  Assist in managing client projects across both tax and technical work streams; and manage conflicting resourcing requirements between projects.
•  Assist in leading projects; and solving problems by advising our clients in the application of complex legislation to real life situations.Assist in liaising with HMRC specialists to facilitate the agreement of R&D claims.
• Help to establish and maintain strong client relationships with both existing and new clients.
• Look to build an internal network within the wider tax practice of the firm.
• Taking responsibility and accountability for your own work. You will be responsible for the delivery of high-quality advice; and ensuring the management of risk and reputation is at the forefront of everything you do. This will include coaching and developing junior staff.

Skills and Qualifications:

• Honours/ Post Graduate Degree in an Information Technology or a related discipline.
•        You will either have: 1) significant industry experience in the fie