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Risk and Regulatory Manager - Wealth and Asset Management

Date: Jun 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
• Leading 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)
• 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 partner
• Delivering Section 166 reviews and reporting to the FCA as part of a wider team
• Providing advice regarding regulatory requirements affecting the WAM sector
• 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
• Prepare presentations and lead internal training

The Person

• Strong understanding of businesses, 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.
• Knowledge of the UK/EU regulatory environment, including the following:
o SFDR and wider ESG regulations
o Assessment of Value and Product Governance
o Conduct and suitability requirements
o Operational Resilience


• Educated to degree level or equivalent.
• Professional qualification preferred, with strong knowledge of regulatory rules and guidance but crucially practical application within the WAM industry.
• Proven experience in a financial service role with specific experience in a risk or regulatory role
• 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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