Director, Markets Compliance

Requisition Number: 118215 - 61

Description:

The KPMG Advisory practice is currently our fastest growing practice. We are seeing tremendous client demand, and looking forward we don't anticipate that slowing down. In this ever-changing market environment, our professionals must be adaptable and thrive in a collaborative, team-driven culture. At KPMG, our people are our number one priority. With a wealth of learning and career development opportunities, a world-class training facility and leading market tools, we make sure our people continue to grow both professionally and personally. If you're looking for a firm with a strong team connection where you can be your whole self, have an impact, advance your skills, deepen your experiences, and have the flexibility and access to constantly find new areas of inspiration and expand your capabilities, then consider a career in Advisory.

KPMG is currently seeking a Director to join our Advisory Services practice.

Responsibilities:

• Develop frameworks and methodologies for compliance, supervisory, operational and regulatory risk-management programs
• Review client's policies, procedures, processes and controls against leading practice and industry frameworks, identify gaps in design and execution and communicate issues and recommendations to engagement leads and client management
• Plan and execute client engagements focusing on Regulatory Compliance, Supervision Surveillance, Conduct Risk, Operational Risk, Operational Resilience, Third Party Risk Assessments and other risk programs
• Engage and lead in go-to-market and business development efforts, including the preparation of proposals for prospective clients and client presentations as well as provide subject matter expertise when needed
• Contribute to project management and administration, including contracting and budget management as well as managing day-to-day client relationships
• Lead and deliver small engagements, or components of large, complex engagements for capital markets organizations by guiding and overseeing the quality of the team's deliverables and providing recommendations to client senior leadership
  
  

Additional Responsibilities for Director:

• Lead and support proposal and business development activities by identifying new target clients, building business relationships with key executives and developing and presenting proposals
• Provide leadership and oversight to KPMG team members regarding deliverables, project plans and performance
• Serve as a leader in recruiting and retention efforts to develop the practice
  
  

Qualifications:

• Minimum eight years of related work in a regulatory compliance and/or risk management function, capital markets organization (Asset Management Firm/Investment Adviser, Broker Dealer, Wealth Management Firm, Swap Dealer, Securities-based Swap Dealer, Capital Markets or Asset/Wealth Management Division of a Large Diversified Bank), regulatory agency, or consulting firm
• Bachelor's degree from an accredited college/university or equivalent work experience
• Minimum two years of experience with SEC, FINRA, CFTC, NFA, or other capital markets regulator examinations, enforcement, or policy making direct work at one of these regulatory bodies is strongly preferred
• Familiarity leading and executing large or complex projects
• Proficiency in executing project management
• Strong leadership and communication skills, technical knowledge and the ability to write at a publication quality level in order to communicate findings and recommendations to the clients and senior management team
• Ability to travel as required
• Applicants must be currently authorized to work in the United States without the need for visa sponsorship now or in the future
  
  

KPMG complies with all local/state regulations regarding displaying salary ranges. If required, the ranges displayed below or via the URL below are specifically for those potential hires who will work in the location(s) listed. Any offered salary is determined based on relevant factors such as applicant's skills, job responsibilities, prior relevant experience, certain degrees and certifications and market considerations. In addition, the firm is proud to offer a comprehensive, competitive benefits package, with options designed to help you make the best decisions for yourself, your family, and your lifestyle. Available benefits are based on eligibility. Our Total Rewards package includes a variety of medical and dental plans, vision coverage, disability and life insurance, 401(k) plans, and a robust suite of personal well-being benefits to support your mental health. Depending on job classification, standard work hours, and years of service, KPMG provides Personal Time Off per fiscal year. Additionally, each year the firm publishes a calendar of holidays to be observed during the year and provides two firmwide breaks each year where employees will not be required to use Personal Time Off; one is at year end and the other is around the July 4th holiday. Additional details about our benefits can be found towards the bottom of our KPMG US Careers site at ' Benefits & How We Work '.

Follow this link to obtain salary ranges by city outside of CA: https://kpmg.com/us/en/how-we-work/pay-transparency.html/?id=M113_2_24

KPMG LLP (the U.S. member firm of KPMG International) offers a comprehensive compensation and benefits package. KPMG is an affirmative action-equal opportunity employer. KPMG complies with all applicable federal, state and local laws regarding recruitment and hiring. All qualified applicants are considered for employment without regard to race, color, religion, age, sex, sexual orientation, gender identity, national origin, citizenship status, disability, protected veteran status, or any other category protected by applicable federal, state or local laws. The attached link contains further information regarding the firm's compliance with federal, state and local recruitment and hiring laws. No phone calls or agencies please.

KPMG does not currently require partners or employees to be fully vaccinated or test negative for COVID-19 in order to go to KPMG offices, client sites or KPMG events, except when mandated by federal, state or local law. In some circumstances, clients also may require proof of vaccination or testing (e.g., to go to the client site).

KPMG recruits on a rolling basis. Candidates are considered as they apply, until the opportunity is filled. Candidates are encouraged to apply expeditiously to any role(s) for which they are qualified that is also of interest to them.

Los Angeles County applicants: Material job duties for this position are listed above. Criminal history may have a direct, adverse, and negative relationship with some of the material job duties of this position. These include the duties and responsibilities listed above, as well as the abilities to adhere to company policies, exercise sound judgment, effectively manage stress and work safely and respectfully with others, exhibit trustworthiness, and safeguard business operations and company reputation. Pursuant to the California Fair Chance Act, Los Angeles County Fair Chance Ordinance for Employers, Fair Chance Initiative for Hiring Ordinance, and San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.