Q1 Technologies, Inc. ยท 1 day ago
Asset Management Specialist
New York, NY
Contract
Onsite
Senior LevelQ1 Technologies, Inc. is seeking an Asset Management Specialist to lead comprehensive audits of Global Prime Funds operations. The role involves planning and executing audit engagements, ensuring compliance with regulatory standards, and providing strategic consulting on control design and risk mitigation.
ConsultingInformation ServicesInformation TechnologySoftware
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
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
Company
Q1 Technologies, Inc.
Q1 is a global professional organization that delivers quality IT products and services.
Founded in 2002
1001-5000 employees
Funding
Current Stage
Late StageCompany data provided by crunchbase