Regulatory Manager (CASS)

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

We are looking to recruit FRM Risk & Compliance - Regulatory Manager (CASS)


The Team

KPMG’s Wealth and Asset Management Regulatory practice looks after the interests and helps a broad range of clients, from global asset managers with operations in multiple jurisdictions to smaller wealth managers who are predominantly UK focused. Each one of our clients faces different challenges and we aim to deliver practical advice to help them navigate the continuous regulatory change and current political uncertainty. 

To be most impactful we hone in on three broad areas: Governance, Risk and Compliance (GRC), Regulatory Change, Conduct matters. These themes not only address the list of concerns on top of our client’s agendas but also reflect the vast expertise of our team members. To provide an example, within Regulatory Change we help clients with AIFMD reviews, Brexit ‘no regrets’ strategy planning and implementation, FCA Asset Management Market Study analysis and response, MiFID II compliance assessments, Senior Managers & Certification Regime implementation, mock regulatory visits as well as regulatory horizon scanning. We deliver short pieces of targeted regulatory advice as well as larger scale cross-disciplinary regulatory programmes, leveraging KPMG’s network of services and the support of our foreign affiliates. We strive to be trusted advisors to our clients, being responsive to and respectful of their changing priorities whilst at the same time using our skills to pre-empt their needs and keep them safe.

Our industry-leading highly respected team is comprised of driven, pro-active and very capable individuals who are committed to meeting the needs of our clients and adding real value to their businesses. We bring together industry, consulting and regulatory experience into a hub of wealth and asset management excellence where personal development is encouraged and collaboration is key. We have a progressive attitude and look to attract high performing individuals, who are commercially aware, technically minded, determined to grow and would thrive in a fast paced environment.


The Role


–    Delivering client engagements, leading small sized teams and providing input to larger, multi-disciplinary teams. 

–    Advising and assisting clients in understanding the impact of regulatory developments on existing processes and controls.

–    Advising clients on CASS issues and providing advice regarding existing processes. 

–    Delivering Section 166 reviews and reporting to the FCA as part of a wider team.

–    Assisting with the development and delivery of client asset based training.

–    Providing technical support and advice internally to KPMG teams in respect of client asset audits.

–    Mentoring and coaching other less experienced team members.

–    Taking an active role in the preparation of proposal documents and tenders, organising client workshops and industry seminars and drafting marketing materials.

–    Developing knowledge management and thought leadership and identifying new business and growth opportunities.

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 stakeholder and relationship management skills and the ability to develop and maintain strong internal and external networks.

–    Project management skills and the ability to manage a team of professional staff. 


–    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.

–    Significant and relevant financial services experience with a focus on the FCA’s Client Assets Sourcebook.

–    Understanding of regulatory developments and key current issues facing clients.

–    Proven track record in working with teams to bring high quality deliverables to a range of stakeholders.