Share this Job

Regulatory Manager (CASS)

Date: Mar 27, 2019

Location: London, United Kingdom

Company: KPMG UK

AutoReq ID129125BR
Job TitleRegulatory 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

KPMG’s Wealth and Asset Management Regulatory practice looks after the interests and helps a broad range of clients, from global asset managers with operations in multiple jurisdictions to smaller wealth managers who are predominantly UK focused. Each one of our clients faces different challenges and we aim to deliver practical advice to help them navigate the continuous regulatory change and current political uncertainty.

To be most impactful we hone in on three broad areas: Governance, Risk and Compliance (GRC), Regulatory Change, Conduct matters. These themes not only address the list of concerns on top of our client’s agendas but also reflect the vast expertise of our team members. To provide an example, within Regulatory Change we help clients with AIFMD reviews, Brexit ‘no regrets’ strategy planning and implementation, FCA Asset Management Market Study analysis and response, MiFID II compliance assessments, Senior Managers & Certification Regime implementation, mock regulatory visits as well as regulatory horizon scanning. We deliver short pieces of targeted regulatory advice as well as larger scale cross-disciplinary regulatory programmes, leveraging KPMG’s network of services and the support of our foreign affiliates. We strive to be trusted advisors to our clients, being responsive to and respectful of their changing priorities whilst at the same time using our skills to pre-empt their needs and keep them safe.

Our industry-leading highly respected team is comprised of driven, pro-active and very capable individuals who are committed to meeting the needs of our clients and adding real value to their businesses. We bring together industry, consulting and regulatory experience into a hub of wealth and asset management excellence where personal development is encouraged and collaboration is key. We have a progressive attitude and look to attract high performing individuals, who are commercially aware, technically minded, determined to grow and would thrive in a fast paced environment.

The Role


– Delivering client engagements, leading small sized teams and providing input to larger, multi-disciplinary teams.

– Advising and assisting clients in understanding the impact of regulatory developments on existing processes and controls.

– Advising clients on CASS issues and providing advice regarding existing processes.

– Delivering Section 166 reviews and reporting to the FCA as part of a wider team.

– Assisting with the development and delivery of client asset based training.

– Providing technical support and advice internally to KPMG teams in respect of client asset audits.

– Mentoring and coaching other less experienced team members.

– Taking an active role in the preparation of proposal documents and tenders, organising client workshops and industry seminars and drafting marketing materials.

– Developing knowledge management and thought leadership and identifying new business and growth opportunities.

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 stakeholder and relationship management skills and the ability to develop and maintain strong internal and external networks.

– Project management skills and the ability to manage a team of professional staff.


– 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.

– Significant and relevant financial services experience with a focus on the FCA’s Client Assets Sourcebook.

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

– Proven track record in working with teams to bring high quality deliverables to a range of stakeholders.

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: Regulatory Affairs, Consulting, Law, Marketing Manager, Manager, Legal, Technology, Marketing, Management