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Assistant Manager – CASS Assurance – Financial Services, London

Date: Nov 20, 2021

Location: London, United Kingdom

Company: KPMG UK

The Team:
The CASS Assurance Services team provide regulatory advisory and assurance services to assist leading organisations in the investment management sector. KPMG has a proven track record of helping clients in this area, and we have significant growth plans given the opportunities arising from increasing regulatory scrutiny, supervision and demand for external assurance.

Team members possess a variety of core assurance and advisory skills, and have considerable industry knowledge and specialist expertise of the UK regulatory environment, with a particular focus on Client Assets.

The Role:
- Delivery of client engagements, working on both small sized teams and larger, multi-disciplinary teams including planning to completion of our regulatory assurance engagements, including both audits and non-audits, reporting directly to the engagement manager and partner.
- Acting as the day to day contact for clients and stakeholders, whilst managing a team of audit associates through coaching in technical CASS rules and project delivery.
- Keeping up to date with industry specific issues and circumstances which affect asset management (AM) regulation.
- Support the provision of advice regarding regulatory requirements affecting AM firms such as Client Assets reviews.
- Assist in the preparation of presentations, training, thought leadership and marketing material.
- Providing technical advice as a CASS SME, responding to queries when they arise.

The Person:
- Act as a lead in-charge on the CASS Assurance Audits.
- Assist in technical reviews of audit work and support of audit teams regarding Client Assets reporting to the FCA.
- Research and preparation of technical advice responding to queries.
- Preparation of presentations to audit and non- audit investment management clients on regulatory requirements.

Qualifications and Skills
- Strong investment management sector understanding of businesses, structures, governance frameworks and process & control infrastructures of firms.
- Background in regulation with technical proficiency in the FCA’s Client Assets sourcebook.
- Strong communication skills and ability to influence and deal with senior individuals.
- Strong project management skills, including good judgement and knowing when to escalate.
- Good knowledge of CASS 6, CASS 7, CASS 8 and CASS 10.
- Ability to work under pressure and meet tight deadlines.

Experience and Background
- Professional qualification preferred, however not a requirement, with strong knowledge of regulatory rules and guidance but crucially the practical application within the investment management industry.
- Project management skills, demonstrated by a record of regulatory project delivery.
- The ability to evaluate technical issues, analyse facts, consult and deliver solutions to clients.
- Excellent communication and presentation skills; including an ability to communicate well with clients in writing and verbally.
- A proactive and can do attitude that will aid you in a high challenge, high support culture that exists at KPMG.
- Understanding of regulatory developments and key current issues facing clients.
- Experience in working with teams and the ability to work independently.

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