Compliance Manager

  • Full-time

Company Description

Phoenix American Financial Services is looking for individuals to join our team in servicing our growing client portfolio and to help our investment administration staff.  Our company has administered millions of investments for hundreds of alternative investment funds and we have a reputation for excellence in the direct investment industry.  We are a registered Transfer agent with the SEC and offer our clients full service investment administration including investor relation support and accreditation services in accordance with SEC rule 506(c).

Job Description

This role has regular interaction with various business units across Phoenix American Financial Services and requires strong interpersonal and communication skills. You will be required to:

· Utilize knowledge of Sarbanes Oxley (SOX) and SSAE 16 controls to evaluate, redesign and simplify complex systems and business controls

· Define controls and processes for our new businesses and adapt/drive new best practices

· Revise procedures, reports etc. periodically to identify hidden risks or non-conformity issues

· Review the work of colleagues for audit and when necessary to identify compliance issues and provide advice or training

· Thrive in a fast growing business environment and are able to multi-task with several priorities

· Be a self-starter, deal well with cross functional teams and ambiguous situations

· Be a natural leader with ability to influence others

· Influence business decisions by effective verbal and written communication, data driven analysis, and presentation of alternatives

Key Responsibilities Include:

· Assist with documentation of financial process controls in the area of Fund Accounting and Investment Administration to support functional operations

· Perform walkthroughs and develop process flow charts

· Evaluate processes, risks, and internal controls (system, manual, preventive, detective) for weaknesses/gaps and identify areas of potential improvements

· Work with process owners on design and implementation of internal controls, segregation of Duties and common controls

· Evaluate and analyze systems for IT general computer/application controls

· Ensure SSAE 16 documentation is kept up to date within systems for scoping, testing, and remediation of all key control activities

· Review findings from internal/external audits and facilitate the remediation of recommendations and observations

· Monitor and improve the operational excellence of internal controls program to move from a reactive, findings based program to a proactive, monitored program

· Leverage internal tools and processes to track and report status to Senior Management

· Manage multiple concurrent projects under tight deadlines

· Train new or existing process and control owners on the internal control compliance process, including testing and performing of self-assessments

Qualifications

Preferred Qualifications

· Bachelor’s degree in law, finance, business administration or related field

· 6+ years work experience in financial services auditing and/or compliance management

· Strong working knowledge with the Investment Company Act of 1940 & Securities Exchange Act of 1934

· Strong knowledge of Sarbanes Oxley and SSAE 16

· Proficient in risk assessment and risk-based auditing and internal controls

· Strong accounting knowledge, including detailed understanding of financial auditing and PCAOB standards

· Strong working knowledge with investment fund life cycle administration in accordance with SEC Regulations

Additional Information

All your information will be kept confidential according to EEO guidelines.