Executive
Process Controls - Executive (Asset Management)
The Process and Controls (PC) practice, a specialty advisory practice within Advisory Services, provides comprehensive risk services through a suite of strategic, outsourcing, and industry-focused operational recommendations that help companies around the world evaluate and enhance their internal audit and risk management functions. PC seeks a strong team player with a great work ethic and excellent professional skills for the role of PC Executive focusing on the asset management industry. This professional will perform internal audit, Sarbanes-Oxley (SOX) and risk advisory projects in accordance with the client's risk management strategy and the business internal audit and SOX 404 methodologies.
Responsibilities of a Process Controls Executive (Asset Management)
- Work with high-growth clients and other market leaders in the asset management industry. Deliver audits and take responsibility for the overall execution of the audit project through wrap-up and final report delivery.
- Maintain a strong client focus by effectively serving client needs and developing productive working relationships with client personnel. Stay abreast of current business and economic developments and new pronouncements/standards relevant to the client's business
- Work effectively as a team member sharing responsibility, providing support, and updating senior team members on progress
- Conduct performance reviews and contribute to performance feedback for staff
- Contribute to people initiatives, including recruiting and retaining FS Risk professionals
- Maintain an educational program to continually develop personal skills
Skills and Experience of a Process and Controls Executive (Asset Management)
- Strong understanding of the asset management industry
- Solid understanding of processes and controls in particular from performing internal audit reviews.
- Knowledge of operational process and process analysis
- Experience of: internal audit, COSO, data analytics, computer assisted audit techniques (CAATs), continuous control monitoring (CCM), financial statements, SOX, 404, internal controls, financial reporting and fraud
- Good understanding of:
- Front Office - Investment process, portfolio management and broking.
- Middle Office – Distribution, client reporting and performance analytics
- Back Office – Investment accounting, Clearing and settlement and Corporate actions
Additional skills requirements:
- Track record with a blue chip company within investment management, wholesale baking or professional services firm
- Professional qualification and strong academic record including a degree or equivalent
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