Regulatory Assistant Manager (CASS)

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • KPMG
  • 19 Feb 19

Our Regulatory team provides regulatory advisory services to assist leading organisations in the Asset Management 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.

The Team

 


Our Regulatory team provides regulatory advisory services to assist leading organisations in the Asset Management 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 regulatory environment.

 

 

 


The Role

 


 

 

 
Responsibilities:

 


 

 

– 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 partner.
– Delivering Section 166 reviews and reporting to the FCA as part of a wider team.
– Keeping up to date with industry specific issues and circumstances which affect Asset Management regulation.
– Supporting the provision of advice regarding regulatory requirements affecting the Asset Management sector e.g. client assets reviews.
– Assisting in the preparation of presentations, training, thought leadership, and marketing materials.
– Providing technical advice and responding to queries as they arise.
– Assisting with advisory projects relating to client assets and other regulatory projects, as required.
– Assisting in technical reviews of audit work and supporting audit teams regarding client assets reporting to the FCA.
– Researching and preparing technical advice and responding to queries as they arise.
– Prepaing presentations to audit and non- audit Asset Management clients on regulatory requirements.

 


 

 


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 communication skills and ability to influence and deal with senior individuals.
– Strong project management skills.
– Background in regulation with technical proficiency and a good knowledge of the FCA’s Client Assets sourcebook.

 


 

 

Knowledge/Experience:

 




 

 

– 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.
– Understanding of regulatory developments and key current issues facing clients.
– Experience in working with teams and the ability to work independently.