AJNA INFOTECH · 19 hours ago
Asset Management Audit @ New York, NY - onsite
New York, NY, United States
Full-time
Onsite
Senior Level, Lead/Staff
8+ years expAjna Infotech is a leading IT consulting and software solutions provider. They are seeking a Senior Asset Management Auditor to lead comprehensive audits of Global Prime Funds operations, ensuring compliance with regulatory standards and providing strategic consulting on risk mitigation and process improvement.
Information Technology & Services
Responsibilities
Lead comprehensive audits of Global Prime Funds operations (fund administration, portfolio management, compliance, trading, operations)
Plan and execute audit engagements across multiple jurisdictions (US, EMEA, APAC)
Assess key risks: liquidity, credit, operational, and regulatory compliance
Execute testing per SOC 1/2, ISAE 3402, SEC Rule 2a-7, and MMFR standards
Document findings, prepare audit reports, and present to senior management
Manage 4-6 major audits annually
Ensure Prime Funds compliance with SEC Investment Company Act, Rule 2a-7, FINRA rules
Monitor regulatory developments and assess impact on audit approach
Evaluate compliance programs: NAV calculations, shadow pricing, liquidity assessments
Support regulatory examinations (SEC, FINRA, FCA, MAS)
Review Form N-MFP, Form PF, and regulatory submissions
Provide strategic consulting on control design, process improvement, and risk mitigation
Advise on new products, technologies, and operational changes
Conduct pre-implementation reviews and risk assessments
Serve as subject matter expert for Prime Funds operations
Partner with Portfolio Management, Operations, Compliance, Risk, and Technology teams
Present findings to C-suite executives and Board committees
Collaborate with external auditors and Fund Boards
Qualification
Required
Bachelor's degree in Accounting, Finance, or related field
CPA, CIA, CISA, or CFA required
8+ years audit experience in asset management; 3+ years in money market/prime funds
3+ years in Big 4, internal audit, or consulting at senior/manager level
Experience leading complex audits in global organizations
Proven C-suite stakeholder management
Asset management operations (front/middle/back office)
Money market fund regulations (SEC Rule 2a-7, Money Market Fund Reform)
Fund accounting, NAV calculations, pricing methodologies
Risk management frameworks (COSO, COBIT)
Financial instruments (repos, commercial paper, CDs, treasuries)
Audit tools (ACL, IDEA, Tableau, TeamMate)
Strong analytical and problem-solving skills
Excellent written/verbal communication
Advanced Excel and data analytics
Ability to manage multiple priorities
Experience in matrix organizations
Preferred
MBA or Master's in Accounting/Finance
10+ years total experience with 5+ years in asset management
Big 4 asset management practice experience
Knowledge of UCITS and international money market fund regulations
SQL, Python, or advanced analytics experience
Company
AJNA INFOTECH
ajna infotech specialize in providing Customers with services in the areas of IT Project Assessments, Implementations & Upgrades, Supplemental Resources, Remote Support, and System Integration & Performance Tuning in all the areas.
51-200 employees
Funding
Current Stage
Growth StageCompany data provided by crunchbase