Manager, Markets Compliance

KPMG US; New York (NY); On-site; USD 100,000 - 130,000; Full time

Job summary

A leading firm in Advisory is seeking a Manager for Markets Compliance to handle regulatory compliance and risk management projects. This role requires significant experience in capital markets and offers extensive growth opportunities. Join a collaborative team that values adaptability and personal development.

Benefits

Medical Insurance

Dental Insurance

Vision Insurance

Disability Insurance

Life Insurance

401(k)

Well-being Benefits

Qualifications

• At least 5 years of experience in regulatory compliance or risk management.
• Minimum 2 years with SEC, FINRA, CFTC, or similar regulators.

Responsibilities

• Plan and execute client engagements focusing on Regulatory Compliance and Risk.
• Develop frameworks for compliance and regulatory risk-management programs.
• Manage project administration and client relationships.

Skills

Regulatory Compliance

Risk Management

Project Management

Leadership

Communication

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. We value adaptability in a collaborative, team-driven culture. At KPMG, our people are our top priority, offering extensive learning and career development opportunities, a world-class training facility, and leading market tools to support growth both professionally and personally. If you seek a firm with strong team connections where you can be your whole self, make an impact, and expand your capabilities, consider a career in Advisory.

KPMG is seeking a Manager to join our Advisory Services practice, particularly candidates 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:

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 industry frameworks, identifying gaps and presenting actionable recommendations
4. Participate in business development, including proposal crafting, delivering presentations, and providing subject matter expertise
5. Manage project administration, contracting, budgeting, and client relationships

Qualifications:

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

KPMG offers a comprehensive benefits package, including medical, dental, vision, disability, life insurance, 401(k), and well-being benefits. Salary ranges are compliant with local regulations and depend on various factors. For more details, visit this link.

KPMG is an equal opportunity employer, committed to diversity and inclusion, and complies with all applicable laws. We do not require vaccination or testing for COVID-19 unless mandated by law. Candidates are encouraged to apply promptly as we recruit on a rolling basis.

Additional details:

• Seniority level: Mid-Senior level
• Employment type: Full-time
• Job function: General Business