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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.
– 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.
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.
– 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.
Internal Number: 5529981
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