Asset Management Audit @ New York, NY - onsite

Job Title: Asset Management Audit

Location : New York, NY - onsite

Duration: 6 months

KEY RESPONSIBILITIES

Audit Execution (40%)

· Lead comprehensive audits of Global Prime Funds operations (fund administration, portfolio management, compliance, trading, operations) · Plan and execute audit engagements across multiple jurisdictions (US, EMEA, APAC) · Assess key risks: liquidity, credit, operational, and regulatory compliance · Execute testing per SOC 1/2, ISAE 3402, SEC Rule 2a-7, and MMFR standards · Document findings, prepare audit reports, and present to senior management · Manage 4-6 major audits annually

Regulatory & Compliance (30%)

· Ensure Prime Funds compliance with SEC Investment Company Act, Rule 2a-7, FINRA rules · Monitor regulatory developments and assess impact on audit approach · Evaluate compliance programs: NAV calculations, shadow pricing, liquidity assessments · Support regulatory examinations (SEC, FINRA, FCA, MAS) · Review Form N-MFP, Form PF, and regulatory submissions

Consulting & Advisory (20%)

· Provide strategic consulting on control design, process improvement, and risk mitigation · Advise on new products, technologies, and operational changes · Conduct pre-implementation reviews and risk assessments · Serve as subject matter expert for Prime Funds operations

Stakeholder Management (10%)

· Partner with Portfolio Management, Operations, Compliance, Risk, and Technology teams · Present findings to C-suite executives and Board committees · Collaborate with external auditors and Fund Boards

REQUIRED QUALIFICATIONS

Education & Certifications

· Bachelor's degree in Accounting, Finance, or related field · CPA, CIA, CISA, or CFA required

Experience

· 8+ years audit experience in asset management; 3+ years in money market/prime funds · 3+ years in Big 4, internal audit, or consulting at senior/manager level · Experience leading complex audits in global organizations · Proven C-suite stakeholder management

Technical Expertise

· Asset management operations (front/middle/back office) · Money market fund regulations (SEC Rule 2a-7, Money Market Fund Reform) · Fund accounting, NAV calculations, pricing methodologies · Risk management frameworks (COSO, COBIT) · Financial instruments (repos, commercial paper, CDs, treasuries) · Audit tools (ACL, IDEA, Tableau, TeamMate)

Core Competencies

· Strong analytical and problem-solving skills · Excellent written/verbal communication · Advanced Excel and data analytics · Ability to manage multiple priorities · Experience in matrix organizations

PREFERRED QUALIFICATIONS

· MBA or Master's in Accounting/Finance

· 10+ years total experience with 5+ years in asset management · Big 4 asset management practice experience · Knowledge of UCITS and international money market fund regulations · SQL, Python, or advanced analytics experience

Bachelors or masters

 All your information will be kept confidential according to EEO guidelines.