Internal Control & Compliance Manager

General Description: Responsible for ensuring the integrity of operations, financial processes, and regulatory compliance by evaluating and strengthening internal systems, controls, and risk management frameworks in a SEC regulated Asset Management. The company has a Fund/Portfolio Manager’s license in addition to an advisory arm. Duties/Responsibilities: Design, implement, and monitor internal control policies and procedures. Conduct periodic risk assessments and internal audits. Recommend control enhancements and corrective actions. Monitor compliance with internal policies and regulatory requirements. Report control breaches to executive management. Soft Skills: Assertive, clear, and professional verbal and written communications. Strong interpersonal, collaborative & conflict resolution skills. Ability to effectively design and present information to senior management. Ability to define problems, collect data, establish facts, and draw conclusions. Agility and ability to work effectively both as part of a team and independently. High level of integrity, ethical conduct, and meticulous attention to detail. Education/Experience Requirements: At least 5-7 years demonstrated experience in internal control, financial control, risk management, and/or compliance within the financial services industry. Bachelor’s degree in accounting or finance, CPA, Chartered Accountant or equivalent. A SEC sponsored individual or COO Auditing experience in a national public firm

• Big 4 preferred. Understanding of accounting and financial processes including risk and financial controls. In-depth knowledge of financial regulations and compliance frameworks (e.g., COSO, AM