Manager, Markets Compliance

KPMG US; Melville (NY); On-site; USD 108,000 - 125,000; Full time

Job summary

An established industry player is seeking a dynamic Manager for its growing Advisory Services practice. This role offers the opportunity to engage in complex regulatory compliance and risk management projects, particularly within the capital markets sector. The ideal candidate will have a strong background in regulatory frameworks and a passion for developing actionable strategies for clients. With a focus on collaboration and professional growth, this position is perfect for someone looking to make a significant impact in a supportive environment that prioritizes learning and development. If you are ready to take your career to the next level, this is the role for you.

Benefits

Medical Insurance

Dental Insurance

Vision Insurance

401(k) Plan

Life Insurance

Disability Insurance

Well-being Benefits

Qualifications

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

Responsibilities

• Plan and execute client engagements focusing on regulatory compliance.
• Develop frameworks for compliance and operational risk management.
• Participate in business development and manage client relationships.

Skills

Regulatory Compliance

Risk Management

Project Management

Leadership

Technical Writing

Communication

Education

Bachelor's Degree

Job description

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About the Role

The KPMG Advisory practice is currently our fastest growing practice. We are experiencing tremendous client demand and expect this to continue. In this dynamic market environment, our professionals must be adaptable and thrive in a collaborative, team-driven culture. At KPMG, our people are our top priority. We offer extensive learning and career development opportunities, a world-class training facility, and leading market tools to support professional and personal growth. If you seek a firm with a strong team connection where you can be your authentic self, make an impact, develop your skills, and explore new areas of inspiration, then consider a career in Advisory.

KPMG is seeking a Manager for our Advisory Services practice, preferably with prior experience at the Securities and Exchange Commission (SEC) 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

• 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.
• Develop and implement frameworks and methodologies for compliance, supervisory, operational, and regulatory risk management programs.
• Assess client policies, procedures, processes, and controls against industry frameworks, identify gaps, and present actionable recommendations.
• Participate in business development, including proposal writing, delivering presentations, and providing subject matter expertise.
• Assist in project management, contracting, budget management, and managing client relationships.

Qualifications

• At least five (5) years of experience in regulatory compliance and/or risk management within a capital markets organization, regulatory agency, or consulting firm.
• Minimum of two (2) years of experience with SEC, FINRA, CFTC, NFA, or other regulators, with a preference for SEC Division of Enforcement or Examinations experience.
• Bachelor's degree or equivalent work experience.
• Proven ability to lead complex projects and proficiency in project management.
• Strong leadership, communication, and technical writing skills.
• Ability to travel as needed.
• Authorization to work in the U.S. without sponsorship now or in the future; no visa sponsorship available.

Additional Information

KPMG offers a comprehensive benefits package, including medical, dental, vision, disability, life insurance, 401(k), and well-being benefits. Salary ranges are based on location and experience, with details available at this link. We are an equal opportunity employer and comply with all applicable laws. No phone inquiries or agencies, please.

Other Details

This position is full-time, mid-senior level, in the General Business function, located in Stamford, CT, with a salary range of $108,000 to $125,000.