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Senior Manager Regulatory Risk

Date: Feb 13, 2017

Location: Leeds, United Kingdom

Company: KPMG UK

AutoReq ID121157BR
Job TitleSenior Manager Regulatory Risk
CountryUnited Kingdom
LocationLeeds
FunctionAdvisory Risk Consulting
Service LineRegulatory
Service Line InformationUsing a wide variety of technical and sector-specific skills, KPMG's Risk Consulting group proactively helps clients increase profits whilst reducing reputational, operational, financial and other risks. We are experienced in managing diverse issues including fraud, regulatory compliance, risk frameworks and modelling, capital efficiency, corporate governance, dispute resolution, deriving value from contracts and much more.

Regulatory - a close working relationship with the FSA helps to ensure that you can provide our clients with insight into regulatory interpretation, and the breadth of clients we work with gives you the ability to benchmark to leading practice.

Job DescriptionThe Team



Regulation is front page news. The financial services regulatory landscape is complex and the regulators are intrusive/intensive and won’t hesitate to intervene if they see or anticipate issues with regard to a firm’s compliance or its fair treatment of customers. How organisations respond to and manage this will be crucial to their future success (and perhaps even survival).



The KPMG Regulatory Team delivers regulatory compliance or risk management related support to firms that are authorised and regulated by the Financial Conduct Authority or the Prudential Regulatory Authority.



This support might include authorisations, gap analysis, transformation, customer remediation and redress, regulator visit support, training or advice/guidance on managing regulator intervention.



Given that regulation impacts on all areas on the business, this might cover corporate governance, the effectiveness of the assurance functions, organisational systems and controls, financial soundness and how customers are treated at each of the key stages of the customer relationship lifecycle.



This role holder will be an analyst in the regional Regulatory Team, which comprises 30 individuals that are spread across the North, the Midlands and the South;



The Role



- Delivery of client engagements, leading teams and managing small/ midsized engagements and supporting larger, multi-disciplinary teams

- Assisting firms in understanding prudential regulatory requirements and developments.

- Advising clients on the development, implementation and/or effectiveness of regulatory related activities such as ICAAP, RRP, ILAAP, S166 reporting, New Authorisations, Regulatory Visits, Governance and Risk Frameworks

- Building and maintaining strong relationships and networks with both clients and KPMG colleagues.

- Taking leading role in identification of business development opportunities and preparation of client proposals to support the NM regulatory practice strategy.

- Team leadership, mentoring and coaching of other less experienced team members, oversight and business planning.

- Supporting KPMG's efforts together with the European Centre of Excellence in relation to Sales and Marketing, Research and Development and Knowledge Management.



The Person



- Detailed knowledge of the PRA’s approach to prudential risk, governance and controls, assurance frameworks, organisational systems/controls and related issues across the industry.

- Understanding of regulatory developments and key current issues facing clients.

Strong background in regulation with wide range of technical skills and experience across different business models in areas such as capital, liquidity, recovery planning with an appetite to further develop these skills.

- Specific experience and understanding of the Senior Manager’s Regime and wider governance effectiveness, outsourcing risk, authorisations process, contingency planning and regulatory reporting, will be advantageous.

- Flexibility and agility to contribute to a broad range of regulatory driven engagements.

- Excellent oral / written communication, planning, project management, networking and influencing skills; evidenced by a demonstrable record of regulatory project delivery.

- Excellent stakeholder and relationship management skills and ability to develop and maintain strong internal and external network of contacts, evidenced by networking and influencing skills.
- Strong leadership skills and ability to manage a team of professional staff.



Experience and Background


- Educated to degree level or equivalent.
- Professional qualification such as MBA or CFA will be advantageous, with strong knowledge of regulatory rules and guidance coupled with practical experience within the banking industry.

- Relevant financial services experience with a regulatory focus, either as part of a financial services firm, advisory capacity or PRA.


- The ability to evaluate technical issues, analyse facts, consult and deliver solutions to clients.
- Excellent communication and presentation skills; including an ability to communicate credibly with clients in writing and verbally.

Applying with a DisabilityKPMG are proud to be an inclusive, equal opportunity employer and we seek to attract and retain the best people from the widest possible talent pool. As a member of the Business Disability Forum we're committed to ensuring that all candidates are treated fairly throughout the Recruitment Process. Should you be successful after the initial application stage, please discuss with your recruitment contact any reasonable adjustments to our Recruitment Process that you may require.

KPMG's commitment to diversity

KPMG consistently features in the Sunday Times Best Big Companies to work for, which has been recognised with a special achievement award to mark our 10 years in the Top 25. We pride ourselves on being a place where your individuality is valued; you can be yourself and still achieve your potential. We believe that your individuality helps us to deliver the best results to our clients. Diversity of background, diversity of experience, diversity of perspective - that's the KPMG difference. But, don't take our word for it, find out more about diversity at KPMG by viewing our Policy

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