Share this Job

Regulatory Assistant Manager (CASS)

Date: Feb 19, 2019

Location: London, United Kingdom

Company: KPMG UK

AutoReq ID127338BR
Job TitleRegulatory Assistant Manager (CASS)
CountryUnited Kingdom
FunctionRisk Consulting
Service LineFRM
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.

As subject matter experts with a breadth of experience and specialism across industry, consulting, academia and regulators, the risk team offer the skills and levers to provoke and support complex and unique risk transformational projects in the financial services industry.

KPMG OverviewKPMG is part of a global network of firms that offers Audit, Tax & Pensions, Consulting, Deal Advisory and Technology services. Through the talent of over 16,000 colleagues, we bring our creativity and insight to our clients’ most critical challenges.

With offices across the UK, we work with everyone from small start-ups and individuals to major multinationals, in virtually every industry imaginable. Our work is often complex, yet our vision is simple: to be the clear choice for our clients, for our people and for the communities we work in.

Job Description

The Team

Our Regulatory team provides regulatory advisory services to assist leading organisations in the Asset 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 and supervision.

Team members possess a variety of core assurance and advisory skills and have considerable industry knowledge and specialist expertise of the UK regulatory environment.

The Role


– Delivering client engagements, working in both small sized teams and larger, multi-disciplinary teams. This would include the whole engagement lifecycle: Planning to completion and reporting directly to the engagement manager and partner.
– Delivering Section 166 reviews and reporting to the FCA as part of a wider team.
– Keeping up to date with industry specific issues and circumstances which affect Asset Management regulation.
– Supporting the provision of advice regarding regulatory requirements affecting the Asset Management sector e.g. client assets reviews.
– Assisting in the preparation of presentations, training, thought leadership, and marketing materials.
– Providing technical advice and responding to queries as they arise.
– Assisting with advisory projects relating to client assets and other regulatory projects, as required.
– Assisting in technical reviews of audit work and supporting audit teams regarding client assets reporting to the FCA.
– Researching and preparing technical advice and responding to queries as they arise.
– Prepaing presentations to audit and non- audit Asset Management clients on regulatory requirements.

The Person

Qualifications and Skills:

– Strong understanding of businesses, structures, governance frameworks, and process and control infrastructures of firms in the Asset Management sector.
– Strong communication skills and ability to influence and deal with senior individuals.
– Strong project management skills.
– Background in regulation with technical proficiency and a good knowledge of the FCA’s Client Assets sourcebook.


– Educated to degree level or equivalent.
– Professional qualification preferred, with strong knowledge of regulatory rules and guidance but crucially practical application within the Asset 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 (internal and external) in writing and verbally.
– Understanding of regulatory developments and key current issues facing clients.
– Experience in working with teams and the ability to work independently.

Our DealIf the chance to work with interesting clients and innovative technology wasn’t rewarding enough, we’ll motivate you in other ways too. At KPMG you can expect real responsibilities and opportunities to grow professionally.

‘Our Deal’ sets out all the different ways you’ll be rewarded at KPMG. Among other things you can benefit from honest conversations about your career as well as a range of other rewards. In all these ways and more, we have created an environment that can bring out the best in you.

Flexible WorkingWhile some of our client-facing professionals can be required to travel regularly, and at times be based at client sites, we are supportive where possible of helping you to achieve a balance between your home and work demands.

We are happy to discuss individual requirements and our range of flexible working arrangements could be of interest. Furthermore, as part of the recruitment process, we can put you in touch with people who work flexibly so you can understand from them what our culture is like.

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 you are treated fairly throughout our Recruitment Process. Should you be successful after the initial application stage, please discuss any reasonable adjustments that you may require, with your recruitment contact.

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 are proud of the value we place on individuality; we want you to bring your full self to work and truly maximise your potential. We believe that your individuality helps us to deliver the best results for 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.

Returning to work after a break

At KPMG, we appreciate that returning to work after an extended career break can be daunting. We understand that those with experience who have taken a career break have a wealth of experience and knowledge to offer our organisation, which helps us to achieve our business goals. We will support you to refresh your skills, develop your confidence and provide a supportive network across the firm to help you best integrate into the working environment. This role welcomes applications for individuals who have been out of work for 18 months or more and who have previous relevant experience.

Policy for Agencies

KPMG has a commitment to sourcing candidates directly and as such we do not accept speculative CV’s from agencies. Please check here to see our policy on agencies: Policy

Job Segment: Assistant Manager, Regulatory Affairs, Law, Consulting, Manager, Management, Legal, Technology