Capital Markets Manager

4 weeks ago


Étreux, Hauts-de-France, United States KPMG Full time
Job Title: Manager, Capital Markets

Job Summary:
KPMG is seeking a Manager to join our Advisory Services practice. As a Manager, you will be responsible for developing frameworks and methodologies for compliance, supervisory, operational, and regulatory risk-management programs. You will review clients' 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.

Key Responsibilities:
• Develop and implement compliance and risk-management programs for capital markets organizations
• Review and assess clients' policies, procedures, and controls to ensure compliance with regulatory requirements
• Identify and communicate gaps in design and execution 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 proposal preparation and client presentations
• Contribute to project management and administration, including contracting and budget management, and managing day-to-day client relationships
• Lead and deliver small engagements or components of large, complex engagements for capital markets organizations

Requirements:
• Minimum five years of related work experience in a regulatory compliance and/or risk management function, capital markets organization, 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 with 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 to communicate findings and recommendations to clients and senior management
• 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:
KPMG offers a comprehensive compensation and benefits package, including medical and dental plans, vision coverage, disability and life insurance, 401(k) plans, and a robust suite of personal well-being benefits to support mental health. Depending on job classification, standard work hours, and years of service, KPMG provides Personal Time Off per fiscal year. Additional details about our benefits can be found on our KPMG US Careers site.

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