Internal Control Officer at Alan & Grant

Job Summary:

• This role will implement, monitor and report on internal controls to ensure operational integrity and regulatory compliance in an investment banking environment.

Responsibilities

• Preparation of periodic audit report
•  Preparation of Quarterly internal control reports
•  Daily review of Finance postings and Bank reconciliation statements
• Review and approval of clients’ onboarding (KYC), funds redemption, etc
•  Review and approval of changes in clients’ KYC, etc
• Health and Safety Activities
•  Review of Admin and general company expenses including supplies
• EOD operations on Asset Management activities and mapping of online access to users
•  Proper creation and maintenance of files and archives for reference purpose
• Review of Treasury, HR/Admin and Asset Management documentation
•  Proper recording of Company seal usage and review of legal agreements
• Coordination of statutory periodic reporting to regulators, especially SEC
• Proper monitoring of usage of company utilities
• Sensitization of members of staff on changes (amendment/inclusions/deletion) to rules and regulations from regulatory authorities
• EOD operations on BankOne activities
• Creation of users (staff and clients) on the BankOne application
•  Data Protection Certificate is a plus.
•  Other sundry functions as may be advised by the Chief Compliance Officer and Management.

Requirements

• Minimum 1 year experience in internal control and audit in asset management.
• B.Sc in any finance related course.