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Risk and Regulatory Assistant Manager - Wealth and Asset Management

Date: Feb 11, 2021

Location: London, United Kingdom

Company: KPMG UK

The Team

Our Risk and Regulatory practice provides advisory services to assist leading organisations in the Wealth and Asset Management (“WAM”) 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 and EU regulatory environment.

The Role

Advising clients on key areas of risk and regulatory compliance within the WAM sector and the challenges that changing regulation has on their business models. This will include supporting clients on the following areas:

• Assessing Governance, risk and controls and corporate culture
• Supporting regulatory change and implementation programmes
• Pre/Post regulatory implementation health checks
• Supporting firms in the delivery of their own regulatory and compliance responsibilities
• Operational risk management reviews and enhancement
• Implementation of best practice frameworks and KRIs
• Non-financial regulatory reporting (MIFIR/EMIR & SFTR)
• Supporting independent health checks and reviews of operating models to align to regulatory requirements
• Horizon scanning and the impact of regulatory change
• 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 engagement partner
• Supporting the delivery of section 166 reviews and reporting to the FCA as part of a wider team
• Delivering high quality written outputs for client consumption.

The candidate will also be expected to:
• Keep up to date with industry specific issues and circumstances which affect WAM regulation


The Person

• Understanding of WAM sector, business structures, governance frameworks, and process and control infrastructures of firms in the WAM sector.
• Strong communication skills and ability to influence and deal with senior individuals.
• Understanding of the UK/EU regulatory environment
• Educated to degree level or equivalent.
• Professional qualification preferred, with knowledge of regulatory rules and guidance but crucially practical application within the WAM industry.
• 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.

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