Financial Oversight Manager, Investment Funds

2 months ago

Newport Beach, California, United States Risk & Insurance Management Society Inc Full time
About the Role

We are seeking a highly skilled Risk Management Specialist, Fund Treasury to join our team at Risk & Insurance Management Society Inc. This is an exciting opportunity to work in a dynamic environment where you will have the chance to make a meaningful impact.

Key Responsibilities
  • Financial Oversight: Oversee and manage a risk-focused oversight model covering all operational aspects of the Funds, including SOX disclosure controls and financial reporting integrity.
  • Audit Coordination: Facilitate audit processes, coordinating with service providers, external auditors, and preparing Audit Committee documentation.
  • Accounting Policy Implementation: Implement and maintain accounting policies, assess new securities and complex deals, and collaborate with the financial reporting team for the review of financial statements and regulatory submissions, ensuring fund prospectus accuracy.
  • Fund Expense Management: Oversee and manage fund expenses, interpret fund governing documents, conduct fee assessments, and manage the overall funds' expense ratio.
  • Project Management: Engage in and spearhead fund-related projects and activities.
  • Reporting and Compliance: Coordinate and prepare quarterly Board Reporting materials and appropriate Management Reporting.
  • Relationship Building: Build and sustain essential relationships internally (with legal, compliance, product management, etc.) and with external service providers.
  • SOX Program Management: Oversee the Sarbanes-Oxley oversight program for the funds including risk evaluation, and scope definition.
  • Vendor Oversight: Engage with functional leaders and the vendor oversight team in the acquisition and examination of third-party SSAE 18 (SOC) reports.
  • Process Improvement: Enhance the SOX program's efficiency and effectiveness through strategic improvements, automation, and optimization.
  • Control Monitoring: Coordinate with Enterprise Risk Management in maintaining comprehensive repository of controls and processes, and set up a monitoring and review system to minimize risk and ensure SOX adherence.
  • Control Testing: Perform periodic control testing, including procedural walkthroughs, testing, identifying and addressing deficiencies.
  • Issue Analysis: Analyze issues and errors and partner with teams to evaluate and test corrective action plans.
  • Documentation and Reporting: Generate and maintain SOX-related documentation, such as narratives, flowcharts, and control descriptions, and evaluate the SOX implications of new initiatives or changes, like system updates or new accounting standards.
  • Internal Control Design: Assist in designing, documenting, and testing internal controls over financial reporting to align with COSO standards and fully cover the SOX Program.
  • Compliance Reporting: Prepare and present findings and compliance reports related to SOX at Audit Committee meetings.
Requirements
  • Education: Minimum of a Bachelor's Degree required.
  • Experience: 8-15 years of financial reporting or Big 4 audit experience (or a national public accounting firm) focused on the investment management industry.
  • Skills: Strong understanding of mutual fund accounting, operations, and reporting. Experience with ETFs, closed-end funds, and/or alternative funds is desirable.
  • Knowledge: Strong knowledge of various asset types (e.g., fixed income and equities, including derivatives).
  • Certifications: Strong understanding of the Sarbanes-Oxley Act, the 2013 COSO framework and SEC guidance for management's assessment of internal controls over financial reporting.

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