KPMG Senior Associate, Regulatory Risk in New York, New York

Business Title: Senior Associate, Regulatory Risk

Requisition Number: 66774

Function: Advisory

Area of Interest: Risk Management

State: NY

City: New York


The fastest growing Big Four professional services firm in the U.S., KPMG is known for being a great place to work and build a career. We provide audit, tax and advisory services for organizations in today's most important industries. Our growth is driven by delivering real results for our clients. It's also enabled by our culture, which encourages individual development, embraces an inclusive environment, rewards innovative excellence and supports our communities. With qualities like those, it's no wonder we're consistently ranked among the best companies to work for by Fortune Magazine, Consulting Magazine, Working Mother Magazine, Diversity Inc. and others. If you're as passionate about your future as we are, join our team.

KPMG is currently seeking an Associate/Senior Associate in Financial Risk Management - Regulatory Risk for our KPMG Risk Consulting practice.


  • Assist clients by providing regulatory analysis of the impact of SEC and FINRA rules and regulations

  • Assist clients in providing regulatory analysis for Monthly Net Capital 15c3-1 calculation, Customer protection Rule 15c3-3 calculation, and FOCUS reporting

  • Assist clients in interpreting and implementing compliance and risk governance programs in accordance with SEC and DSRO 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 broker-dealers to manage their regulatory risks

Additional Responsibilities for Senior Associate:

  • Supervise and mentor associates, new hires, and interns on engagements

  • Serve as a liaison between clients and upper management

  • Identify and communicate technical matters to both clients and upper management

  • Assist with project planning, development of deliverables, and other technical writing exercises


  • A minimum of one year of experience as a regulator or securities industry work experience

  • Knowledge of SEC rules, FINRA rules, and financial and operational issues affecting broker dealers

  • Experience with SEC capital rules, including 15c3-1, 15c3-3, and FOCUS reporting

  • Experience with SEC reporting and recordkeeping rules SEC 17a5, 17a3, and 17a4

  • 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 Senior Associate:

  • A minimum of three years of related work and project management experience

  • Well-established understanding of business dynamics and regulations

KPMG LLP (the U.S. member firm of KPMG International) offers a comprehensive compensation and benefits package. KPMG is an equal opportunity employer. All qualified applicants are considered for employment without regard to race, color, creed, religion, age, sex/gender, national origin, ancestry, citizenship status, marital status, sexual orientation, gender identity or expression, disability, pregnancy, veteran status, genetic information, or other legally protected status. KPMG maintains a drug-free workplace. KPMG will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of applicable local, state or federal law (including San Francisco Ordinance number 131192). No phone calls or agencies please.

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