Unit Manager - Internal Control - Investment Advisory Firm (5-10 Yrs)

Internal ControlUnit Manager with an Investment Advisory Company

Job opening for Internal ControlUnit Manager with an Investment Advisory Company

The Internal Control Unit is responsible for ensuring that the clearing, funds and admin unit of the group operates in compliance with all applicable laws, regulations, and internal policies. The successful candidate will be responsible for developing and implementing Internal Controls, monitoring compliance with policies and procedures, and identifying and mitigating risks.

RESPONSIBILITIES:
- Create and execute Internal Controls to guarantee adherence to relevant laws, rules, and internal guidelines.
- Track adherence to rules and guidelines and pinpoint potential danger zones.
- Determine and reduce threats to the group's administrative unit, money, and clearing.
- Create and keep up a framework for risk management.
- Ensuring the frequent conduct of SOC 1 and SOC 2 audits
- Offer staff direction and instruction on risk management and Internal Controls.
- Regularly carry out internal audits inside the organization to guarantee adherence to policies and protocols.
- Write reports for top management on Internal Control and risk management operations.
Interested candidates can email can Call and Message on Whatsapp 9558819019.