Capital Markets Manager

4 weeks ago


Baltimore, Maryland, 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 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.

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

Requirements:
- 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:
KPMG offers a comprehensive compensation and benefits package. KPMG is an affirmative action-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.

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