Our Investment Management team works with a variety of market leading clients ranging from some of the largest traditional asset management groups in the UK to the top five hedge fund managers in Europe; and from some of the largest private sector pension schemes and real estate investors in the UK. We have won a number of tenders in the last few years and expect to grow significantly in the next 3 to 5 years.
The Assurance Services team provide regulatory advisory and assurance services to assist leading organisations in the investment 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, supervision and demand for external assurance.
Team members possess a variety of core assurance and advisory skills, and have considerable industry knowledge and specialist expertise of the UK regulatory environment.
Role and Responsibilities
- Delivery of client engagements, working on both small sized teams and larger, multi-disciplinary teams including planning to completion of our regulatory assurance engagements, including both audits and non-audits, 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 investment management (IM) regulation.
- Support the provision of advice regarding regulatory requirements affecting IM firms such as Client Assets reviews.
- Assist in the preparation of presentations, training, thought leadership and marketing material.
- Technical advice responding to queries as they arise.
Specific examples of work that the individual would be involved in are:
- Assist in advisory projects relating to client assets and other regulatory projects as required.
- Assist in technical reviews of audit work and support of audit teams regarding Client Assets reporting to the FCA.
- Research and preparation of technical advice responding to queries.
- Preparation of presentations to audit and non- audit investment management clients on regulatory requirements.
Qualifications and Skills
- Strong understanding of businesses, structures, governance frameworks and process & control infrastructures of firms in the investment management sector.
- Strong communication skills and ability to influence and deal with senior individuals.
- Strong project management skills.
- Background in regulation with technical proficiency in the FCA’s Client Assets sourcebook.
Experience and Background
- Educated to degree level or equivalent.
- Professional qualification preferred, with strong knowledge of regulatory rules and guidance but crucially the practical application within the investment 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 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.