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KPMG Manager/Director, Financial Services Regulatory & Compliance Risk in Boston, Massachusetts

Business Title: Manager/Director, Financial Services Regulatory & Compliance Risk

Requisition Number: 85212 - 39

Function: Advisory

Area of Interest:

State: MA

City: Boston


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 Manager/Director in Risk & Compliance - FS Regulatory & Compliance for our Consulting ( practice.


  • Assist clients in in performing reviews of swap dealers based on OTC Derivatives Title VII

  • Assist clients in interpreting and implementing CFTC and NFA rules, specifically financial and operational issues affecting FCMs and/or SDs, CFTC reporting and capital rules, and CFTC segregation rules

  • Assist clients in interpreting and implementing compliance and risk governance programs in accordance with CFTC regulations

  • Focus on assisting capital markets firms in managing regulatory risks

  • Develop comprehensive regulatory compliance and supervisory controls, including WSPs and detailed policies and procedures

  • Identify opportunities for enhancements to existing internal controls utilized by the client to manage their regulatory risks

Additional Responsibilities for Director:

  • Lead and support proposal and business development activities by identifying new target clients, building business relationships with key executives as well as 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


  • A minimum of five years of experience as a regulator or work experience in the futures and derivatives industries

  • Knowledge of CFTC and NFA rules

  • Knowledge of financial and operational issues affecting FCMs and/or SDs

  • Knowledge of CFTC reporting and capital rules and CFTC segregation rules

  • Bachelor's degree from an accredited college/university

  • Excellent verbal and written communication skills

  • Travel may be up to 80-100%

  • Applicants must be currently authorized to work in the United States without the need for visa sponsorship now or in the future

Additional Qualifications for Director:

  • A minimum of eight years of experience in advisory services or project management or applicable industry experience

  • Progressive experience leading teams and managing projects and the ability to manage a multi-disciplinary team

  • Excellent interpersonal skills with a demonstrated ability to gain the confidence and respect of various levels

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).

GL: 4

GF: 15294