Manager, Markets Compliance

KPMG US; Short Hills (NJ); On-site; USD 100,000 - 130,000; Full time

Job summary

A leading company in advisory services is seeking a Manager for Markets Compliance. This role requires expertise in regulatory compliance and risk management within capital markets. The ideal candidate will lead complex projects and contribute to business development activities while ensuring compliance with regulations.

Benefits

Medical Insurance

Dental Insurance

Vision Insurance

Disability Insurance

Life Insurance

401(k)

Well-being Benefits

Qualifications

• At least five years of experience in regulatory compliance or risk management.
• Minimum of two years of SEC, FINRA, CFTC, NFA, or other regulator experience.

Responsibilities

• Plan and execute client engagements focusing on Regulatory Compliance and Risk.
• Develop and implement frameworks for compliance and risk-management programs.
• Contribute to project management, including contracting and budgeting.

Skills

Leadership

Communication

Technical Writing

Project Management

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, make an impact, enhance your skills, deepen your experiences, and find new areas of inspiration, consider a career in Advisory.

KPMG is seeking a Manager for our Advisory Services practice, preferably 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, including contracting, budgeting, and managing client relationships.

Qualifications:

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

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

We are an equal opportunity employer and comply with all applicable laws. No phone calls or agencies please. Additional information on our COVID-19 policies and hiring practices is available on our careers site.