Manager, Markets Compliance

KPMG US; Boston (MA); On-site; USD 90,000 - 150,000; Full time

Job summary

An established industry player is seeking a Manager for their Advisory Services practice, focusing on regulatory compliance and risk management within the capital markets sector. This role offers a unique opportunity to lead complex projects, develop compliance frameworks, and engage in business development activities. The firm emphasizes a collaborative culture, providing numerous learning and career development opportunities. If you're passionate about making a significant impact and advancing your career in a supportive environment, this position is ideal for you.

Qualifications

• 5+ years in regulatory compliance/risk management within capital markets.
• Experience with SEC, FINRA, CFTC, or NFA regulations.

Responsibilities

• Plan and execute client engagements focusing on regulatory compliance.
• Develop frameworks for compliance and risk management programs.

Skills

Regulatory Compliance

Risk Management

Project Management

Communication Skills

Technical Writing

Education

Bachelor's Degree

Job description

Join to apply for the Manager, Markets Compliance role at KPMG US.

The KPMG Advisory practice is currently our fastest growing practice, experiencing tremendous client demand. Our professionals must be adaptable and thrive in a collaborative, team-driven culture. At KPMG, our people are our number one priority, with numerous learning and career development opportunities, a world-class training facility, and leading market tools to support professional and personal growth. If you're seeking a firm with a strong team connection where you can be your whole self, have an impact, and expand your capabilities, consider a career in Advisory.

KPMG is seeking a Manager to join our Advisory Services practice, especially candidates with prior SEC experience in the Division of Enforcement or Examinations. This role involves working on complex regulatory compliance, risk management, and client advisory projects within the capital markets sector.

Responsibilities:

1. 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.
2. Develop and implement frameworks and methodologies for compliance, supervisory, operational, and regulatory risk-management programs.
3. Assess client policies, procedures, processes, and controls against leading practices and industry frameworks, identifying gaps and presenting actionable recommendations.
4. Participate in business development activities, including crafting proposals, delivering presentations, and providing subject matter expertise.
5. Contribute to project management and administration, including contracting, budget management, and managing client relationships.

Qualifications:

1. Minimum of five (5) years of related experience in regulatory compliance and/or risk management within capital markets organizations or consulting firms.
2. At least two (2) years of experience with SEC, FINRA, CFTC, NFA, or other regulators, with preference for SEC Division of Enforcement or Examinations experience.
3. Bachelor's degree or equivalent work experience.
4. Proven ability to lead and execute large or complex projects.
5. Strong project management, leadership, communication, and technical writing skills.
6. Ability to travel as needed.
7. Legal authorization to work in the U.S. without sponsorship.

Additional information about salary ranges, benefits, and legal compliance can be found in the original description. KPMG is an equal opportunity employer and adheres to all applicable laws.