Audit and Asset Consultant

 

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