Director, Markets Compliance Specialist
4 weeks ago
Job Title: Director, Markets Compliance
About the Role:
We are seeking a highly skilled Director to join our Advisory Services team in the Markets Compliance department. As a Director, you will be responsible for developing frameworks and methodologies for compliance, supervisory, operational, and regulatory risk-management programs.
Key Responsibilities:
- 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 eight years of related work 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 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.
About KPMG:
KPMG is a leading professional services firm that provides audit, tax, and advisory services to clients across various industries. We are committed to delivering high-quality services and building long-term relationships with our clients.
Why Join KPMG?
KPMG offers a comprehensive compensation and benefits package, as well as opportunities for professional growth and development. We are an affirmative action-equal opportunity employer and comply with all applicable federal, state, and local laws regarding recruitment and hiring.
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