Asset Management Specialist

Role – Asset Management AuditLocation:  New York, NY (Onsite ) Contract (Corp to Corp) Visa: : GC, GCEAD, Citizen and H1B   Job description
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


Atender Kumar | Technical Recruiter Tel: +1 630 536 8202 Ext. 5534  Dir: +1 630 937 0234 atender.kumar@q1tech.com | www.q1tech.com https://www.linkedin.com/in/atender-kumar-307aa2279/ Over 23 Years of Innovation and Excellence in Delivery of IT Services USA | India | Canada | UK | UAE | Mexico