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Senior Manager - Conduct and Remediation
Date: Jan 15, 2021
Location: London, United Kingdom
Company: KPMG UK
Roles and Responsibilities
• Advising clients on the impact of the changing regulatory landscapes on their business models and supporting them through that change with a focus on Retail Consumer Conduct and Remediation Programmes.
• 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 and subsequently become expert yourself.
• Delivering Section 166 reviews and reporting to the FCA as part of a wider team.
• Building and maintaining strong relationships and networks with both clients and KPMG colleagues.
• Running workshops and client sessions on a range of regulatory issues across remediation projects.
• Playing and active role in the development of business for the Regulatory team, including production of proposals and the identification of opportunities within client engagements.
• Active mentoring, coaching and development of colleagues
• Leading large engagements and including larger, multi-disciplinary engagements.
• Playing a lead role in KPMG's efforts in relation to Sales and Marketing, Research and Development and Knowledge Management
Qualifications and Skills
• Knowledge of the FCA’s approach to conduct risk and related issues across the industry. Industry recognised qualification. (e.g. DipFA, CeMAP, CISI, FPC, IMC, CFA etc.) desirable but not essential.
• Regulatory / Operational Experience of Conduct of Business Rules (inc MCOB, ICOBs, BCOBs, CONC) as well as DISP, APER, SYSC and PERG.
• Excellent oral / written communication, planning, project management, networking and influencing skills
• Flexibility to work across the UK (and internationally) where required
Experience and Background
• 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 (inc. S166), risk mitigation and dealing with enforcement.
• Knowledge/ Experience of Governance and Systems and Controls regulation that affect our retail clients and Principle / Outcomes Based Regulation.
• Relevant Sectoral experience - Insurance / Retail Banking/Asset Management
• Practical knowledge / experience of Treating Customers Fairly and Customer in Vulnerable Situations
• 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.
• Experience of working within retail financial services arena, preferably including experience of working in a professional services firm and time in a regulatory environment (eg a regulated firms' compliance department or FCA)
• Advising clients on the impact of the changing regulatory landscapes on their business models and supporting them through that change with a focus on Retail Consumer Conduct and Remediation Programmes.
• 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 and subsequently become expert yourself.
• Delivering Section 166 reviews and reporting to the FCA as part of a wider team.
• Building and maintaining strong relationships and networks with both clients and KPMG colleagues.
• Running workshops and client sessions on a range of regulatory issues across remediation projects.
• Playing and active role in the development of business for the Regulatory team, including production of proposals and the identification of opportunities within client engagements.
• Active mentoring, coaching and development of colleagues
• Leading large engagements and including larger, multi-disciplinary engagements.
• Playing a lead role in KPMG's efforts in relation to Sales and Marketing, Research and Development and Knowledge Management
Qualifications and Skills
• Knowledge of the FCA’s approach to conduct risk and related issues across the industry. Industry recognised qualification. (e.g. DipFA, CeMAP, CISI, FPC, IMC, CFA etc.) desirable but not essential.
• Regulatory / Operational Experience of Conduct of Business Rules (inc MCOB, ICOBs, BCOBs, CONC) as well as DISP, APER, SYSC and PERG.
• Excellent oral / written communication, planning, project management, networking and influencing skills
• Flexibility to work across the UK (and internationally) where required
Experience and Background
• 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 (inc. S166), risk mitigation and dealing with enforcement.
• Knowledge/ Experience of Governance and Systems and Controls regulation that affect our retail clients and Principle / Outcomes Based Regulation.
• Relevant Sectoral experience - Insurance / Retail Banking/Asset Management
• Practical knowledge / experience of Treating Customers Fairly and Customer in Vulnerable Situations
• 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.
• Experience of working within retail financial services arena, preferably including experience of working in a professional services firm and time in a regulatory environment (eg a regulated firms' compliance department or FCA)
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