Governance, Risk, and Compliance Manager or Senior Manager - Asset Management Consulting

Weaver•New York, NY

28d•$100,000 - $185,000•Hybrid

About The Position

Weaver’s Governance, Risk and Compliance (GRC) team is looking for a dynamic, driven, experienced Manager or Senior Manager to join our growing Asset Management Consulting practice. This position is responsible for understanding investment operations, including various asset classes, and regulatory requirements. This role will work on internal audit, consulting, and compliance client engagements in the asset management/financial services sector while supervising teams of staff members on multiple concurrent engagements. This individual has experience managing engagement economics and client expectations to drive successful completion of engagement objectives.

Requirements

Bachelor’s degree in Finance, Accounting, or other business-related field
CPA, CIA or other relevant certification
4+ years of experience in Asset Management, Public Accounting or Internal Audit
Proficient at Microsoft Excel, Word, and PowerPoint
Excellent written and verbal communication skills
Team orientation and strong interpersonal skills
Strong project management skills
Experience in managing, mentoring and developing staff
Self-starter, taking accountability to ensure engagement milestones and deadlines are achieved timely
Extensive internal and/or external audit experience with a variety of industries and types of audits for public companies
Advanced understanding of the COSO internal control framework, Internal Audit Standards, and the Sarbanes-Oxley Act and the related requirements of Section 404

Nice To Haves

Master’s degree in Finance or other business related field
Experience with oil & gas industry, inventory-based businesses, and financial services industry
Familiarity with building and providing presentations and briefings to senior management and boards

Responsibilities

Demonstrate advanced understanding of investment topics including risks within public and private market investments, investment operations, investment accounting, risk, compliance and organizational governance. Familiarity with accounting, business processes, transaction cycles, and third-party risks and assessments
Proficient in reviewing work prepared by others related to internal audit, compliance and consulting reviews over investment, operations, and other investment related topics
Familiarity with internal control over financial reporting areas using the Committee of Sponsoring Organizations (COSO) internal control framework, Internal Audit Standard, and the Sarbanes Oxley Act and the related requirements of Section 404
Demonstrate familiarity and understanding of IIA, GAAP, and GAAS standards
Monitor engagement progress against client expectations
Responsible for ensuring engagement staff follow up on open items and issues and ensuring engagement deliverables are completed timely
Consistent performance of engagement plan in all internal audit, consulting, and compliance areas
Take a leadership role with staff and clients in directing engagements by actively managing the engagement responsibilities, including drafting engagement letters, providing status to the client and/or engagement team as appropriate, managing actual hours incurred versus budgeted hours, and billing clients
Plan multiple concurrent client engagements including scheduling, deploying of resources and exhibits effective project management
Demonstrate the ability to plan, perform, and deliver work independently with limited supervision on large complex engagements
Perform a review of the work prepared by others for coverage, completeness, accuracy, and technical proficiency
Work closely with all experienced team members to identify and resolve issues encountered in completing engagement objectives through effective and timely communication
Consistently take ownership of assigned engagements and demonstrate the ability to schedule multiple concurring projects efficiently to fully utilize staff resources
Demonstrate the ability to manage engagement economics to ensure that project performance is meeting expectations and the project remains profitable
Keep team members apprised of engagement and scheduling issues on a timely basis
Demonstrate an advanced understanding of the client’s investment structure, operations, accounting systems, financial condition, and the industry in which it operates
Establish and maintain a strong working relationship and demonstrate effective communication with client personnel at appropriate levels
Maintain appropriate professionalism in client and team interactions
Demonstrate independent thinking and strong decision making
Responsible for ensuring that deliverables and workpapers produced by team members are clear and concise and comply with firm standards
Identify and develop budget and deadline considerations and strive for adherence
Demonstrate the ability to draft a complete and accurate internal audit report which adequately documents the objectives of the audit, procedures, performed, results of procedures, overall conclusion, and recommendations for improvements clearly and concisely
Responsible for managing engagement economics while meeting technical and client expectations
Consistently demonstrate ability to assume project management responsibilities including the ability for the supervision of 2-4 staff on multiple concurring projects and ensuring the engagement tasks and objectives are completed accurately and completely and that staff are appropriately utilized
Provide feedback on performance to members within the Firm’s reporting process, monitors CPE needs and requests specialized training for staff
Assist and mentor staff, actively cultivating an environment that challenges, encourages, and fosters learning
Effectively delegate tasks to facilitate professional development and efficient utilization of firm resources
Responsible for assisting and actively participating in the development of departmental training, methodology and tools
Expanded involvement in firm and service line administrative duties as requested
Understand and adhere to rules, regulations, and code of professional conduct as stipulated by the Institute of Internal Auditors
Ability to be on-site at clients, as requested
In reference to carrying out their professional responsibilities, be familiar with and adhere to the relevant ethical requirements of the AICPA, as outlined in the Code of Professional Conduct, as well as those of state accountancy boards and professional societies for which any licenses are held
Perform other duties as assigned