Capital Markets Manager

2 months ago

Washington, United States KPMG Full time
Job Title: Capital Markets Manager

We are seeking a highly skilled Capital Markets Manager to join our Advisory Services team. As a key member of our team, you will be responsible for developing and implementing risk management programs, reviewing client policies and procedures, and leading client engagements.

Responsibilities:
  • Develop frameworks and methodologies for compliance, supervisory, operational, and regulatory risk-management programs
  • Review client policies, procedures, processes, and controls against leading practice and industry frameworks, identify gaps in design and execution, and communicate issues and recommendations to engagement leads and client management
  • 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
  • Engage and lead in go-to-market and business development efforts, including the preparation of proposals for prospective clients and client presentations, as well as provide 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
  • Lead and deliver small engagements, or components of large, complex engagements for capital markets organizations by guiding and overseeing the quality of the team's deliverables and providing recommendations to client senior leadership
Qualifications:
  • Minimum five 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
  • Bachelor's degree from an accredited college/university or equivalent work experience
  • Minimum two years of experience with SEC, FINRA, CFTC, NFA, or other capital markets regulator examinations, enforcement, or policy making direct work at one of these regulatory bodies is strongly preferred
  • Familiarity leading and executing large or complex projects
  • Proficiency in executing project management
  • Strong leadership and communication skills, technical knowledge, and the ability to write at a publication quality level in order to communicate findings and recommendations to the clients and senior management team
  • Ability to travel as required
  • Applicants must be currently authorized to work in the United States without the need for visa sponsorship now or in the future
Benefits:
  • We offer a comprehensive, competitive benefits package, with options designed to help you make the best decisions for yourself, your family, and your lifestyle
  • 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

KPMG is an affirmative action-equal opportunity employer. We comply 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.

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