Internal Control & Compliance Manager at Sthenic Finance & Advisory Limited

General Description: 

•  Responsible for ensuring the integrity of operations, financial processes, and regulatory compliance by evaluating and strengthening internal systems, controls, and risk management frameworks in a SEC regulated Asset Management. The company has a Fund/Portfolio Manager’s license in addition to an advisory arm.

Duties/Responsibilities:

• Design, implement, and monitor internal control policies and procedures.
• Conduct periodic risk assessments and internal audits.
• Recommend control enhancements and corrective actions.
• Monitor compliance with internal policies and regulatory requirements.
• Report control breaches to executive management.

Soft Skills:

• Assertive, clear, and professional verbal and written communications.
• Strong interpersonal, collaborative & conflict resolution skills.
• Ability to effectively design and present information to senior management.
• Ability to define problems, collect data, establish facts, and draw conclusions.
• Agility and ability to work effectively both as part of a team and independently.
• High level of integrity, ethical conduct, and meticulous attention to detail.

Education/Experience Requirements:

• At least 5-7 years demonstrated experience in internal control, financial control, risk management, and/or compliance within the financial services industry.
• Bachelor’s degree in accounting or finance, CPA, Chartered Accountant or equivalent.
• A SEC sponsored individual or COO
• Auditing experience in a national public firm – Big 4 preferred.
• Understanding of accounting and financial processes including risk and financial controls.
• In-depth knowledge of financial regulations and compliance frameworks (e.g., COSO, AM