Compliance, Audit and Risk Specialist
Other duties include, but not limited to:
• Liaising with outside auditors engaged to support the firm’s internal audit, control assessment and other engagements
• Ensuring timely, accurate and on-budget completion of internal audit engagements
• Tracking and closure of open audit recommendations
• Creation of board and management reporting materials
• Coordination of risk management efforts with a focus on driving operational risk improvements
• Tracking and analysis of incident reports and errors
• Maintenance of firm risk management assessment matrices
• Tracking of open risk items and assisting business and support groups with closing open risks
• Assisting business and support groups with developing, documenting and maintaining internal controls
• Maintaining Risk Management Committee scheduling, agendas and minutes
Qualifications
The Audit and Risk Specialist must possess exceptional organizational skills, attention to detail, a dedication to excellent service and a commitment to working with colleagues to effect risk reduction and continuous improvement in the firm’s control environment
Specific qualifications for the Internal Audit Risk Specialist position include:
• 3-5 Years of relevant experience
• Superior knowledge of the investment management industry, including institutional asset management, private client, alternative investments, and related operations and support functions
• Experience working with auditors
• Experience supporting a SOC-1/SSAE-16 process
• Proficiency in the requirements of the Investment Advisers Act of 1940
• Strong understanding of the risk management function within an investment management organization, with a focus on operational risk
The firm offers a competitive compensation package, including full benefits.
To apply please submit your resume to Jack Kelly – Jkelly@compliancesearch.com
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