Senior Manager - Internal Audit

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Job Summary:
The Senior Manager - Internal Audit will be responsible for assisting the Senior Director to perform audits of the Harmonic group entities financial and information systems, assessing compliance with applicable standards and guidelines and sufficiency of internal controls. They may also be required to work across multiple teams within the organization.

Essential Functions:

• Oversight and management of the Investor Services team
• Ensure all aspects of investor services for a large number of hedge fund accounts with a high volume of transactions and inquiries
• Respond to requests and inquiries from portfolio managers and investors
• Determine investors eligibility to invest in specific funds and oversee and assist with the on-boarding of new investment vehicles
• Investor documentation review
• Manage relationships with new and existing investors
• Conduct overview of review process for incoming subscription funds
• Conduct regulatory reporting
• Data and client management and integrity oversight
• Ensure completion of all reconciliation responsibilities by team
• Ensure client communications are appropriately handled, assisting with inbox, fax queue, telephone calls and emails as appropriate

Compliance

• Monitor and ensure that the AML checks are being carried out in accordance with the procedures and legislation in force.
• Perform Anti-Money laundering (AML) checks whilst displaying a comprehensive knowledge of the established practices, processes and procedures from various jurisdictions
• Compliance with documentation standards as they relate to investor qualification criteria under U.S. and other jurisdictional requirements (FATCA, OFAC, AIFMD etc) and client constitutive documents
• Recording and review of compliance documentation for regulatory, anti-money laundering and know-your-customer standards

Client Relationship Management

• Responsible for client relationship management and new business integration
• Meet tight reporting deadlines and demanding obligations of clients

Projects

• As and when special projects arise, clearly allocate resources, and define and articulate the various responsibilities to team members.

Business Analysis & Reporting

• Assist in developing tactical and strategic product, services and/or programs to support the organization's goals (financial, quality, production, customer service, operational efficiency, etc.)
• Review, analyze and create detailed documentation of business systems and user needs, including workflow, program functions, and steps required to develop or modify computer programs
• Develop effective reporting tools for the organization
• Analyze the client deliverables against service standards and best practices
• Prepare routine reports (financial, quality, etc.)
• Oversee preparation and sign off on group level reporting

Audit

• Liaise with internal and external auditors to complete audit requirements

New Business

• Acquire or assist in new business conversions

Managerial Responsibilities

• Manage team resource allocation, regular performance reviews, recruiting and training of all team members
• Training of Investor Services personnel in all aspects of FM3 and compliance
• Conduct performance reviews for direct reports

Other Responsibilities

• Other job functions as required

Job Qualifications

• A university graduate ideally with a focus in Mathematics or Finance and/or a CPA or similar qualification
• 9+ years of experience working in a similar role or such as middle office or combined role working with complex securities and derivative products and with detailed knowledge of trade booking, settlement, reporting & reconciliations

TECHNICAL RQUIREMENTS

• Outstanding working knowledge of all Windows applications
• Excel - advanced
• Experience with Qlickview
• Advanced understanding of Harmonic FM3 software required

Knowledge, Skills & Abilities Required

• High level of expertise and technical knowledge of alternative investment products, the offshore financial services industry including system technology, portfolio valuation, accounting, share transfer and registration, prime brokerage, financing and custody
• Have strong organizational abilities and can work within a fast-paced environment
• Experience in relationship management and client service
• Self-driven problem-solving attitude and a strong work ethic
• Demonstrate a keen attention to detail - be a strategic thinker and highly analytical
• Excellent interpersonal skills and strong team orientation
• Experience of relationship management and client service
• Excellent time management, organizational and prioritization skills
• Excellent communication skills, both verbal and written

Excellent Leadership and approachableness qualities with the ability to motivate team members