Share this Job

Regulatory Senior Manager

Date: Feb 18, 2019

Location: London, United Kingdom

Company: KPMG UK

AutoReq ID138992BR
Job TitleRegulatory Senior Manager
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 Role



Advising clients on the impact of the changing regulatory landscape on their business models and supporting them through that change with a focus on Senior Managers and Certification Regime (SMCR), UK Corporate Governance requirements and Governance Risk and Control expectations.

- Leading large multi-disciplinary engagements


Playing and active role in the development of business for the Regulatory team, including origination of opportunities from your network, production of proposals and the identification of on sale opportunities within client engagements.


Playing a lead role in KPMG's efforts in relation to sales and marketing, Research and Development and Knowledge Management.


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


Supporting subject matter experts in a range of interesting programmes and working with a very wide set of clients across the financial sector, through which you’ll gain insight and expertise in the work we do.


Running workshops and client sessions on a range of regulatory issues including: SMCR; Governance Risk Conduct Risk; remediation activity and Control; and management of regulatory relationships.


Delivering Section 166 reviews and reporting to the FCA as part of a wider team.
Active mentoring, coaching and development of colleagues.

The Person

Qualifications and Skills:


Knowledge of the Supervisory Framework, with a focus on SMCR and UK corporate governance requirements


Knowledge of the FCA’s approach to conduct risk and related issues across the industry


Exposure to the impact of technology and innovation on Banks business models and regulatory compliance response to those changes


Ability to credibly engage with and influence senior stakeholders at financial services firms


A strong network within the financial services industry


Have or be studying towards an industry recognised qualification (e.g. CISA, FPC, IMC, CFA etc.)


Regulatory / Operational Experience of COBs (inc MCOB, ICOBs, BCOBs)


Excellent oral / written communication, planning, project management, networking and influencing skills


Flexibility to work across the UK (and internationally) where required

Experience and Knowledge:


Knowledge / Experience of SMCR, UK Corporate Governance requirements and Governance / Systems & Controls regulation that affect our retail clients and Principle / Outcomes Based Regulation.


Strong project management skills, evidenced by a demonstrable record of regulatory project delivery


Understand the role of the regulator and advising clients on managing their relationship with the regulator e.g. ongoing supervision, risk mitigation and dealing with enforcement.


Knowledge and understanding of the commercial objectives of Financial Services firms and how regulation should seek to strike a balance between these objectives and ensuring that customers get a fair outcome


Understanding of the wider elements of the FCA Handbook


Experience of working within retail financial services arena, preferably including experience of working in a professional services firm and time in a regulatory environment (e.g. a regulated firms' compliance department or FCA)

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

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, Law, Consulting, Manager, Marketing Manager, Legal, Technology, Management, Marketing