Support AIR (Audit and Inspection readiness) team activities for audits and inspections, i.e. support the management of pre-requests, participation in the back room, follow up of CAPAs, and other.
...
Providing advice to fund management companies, wealth managers, digital advisors, digital assets providers and other capital markets intermediaries (i.e. REIT managers, brokerages, corporate finance advisors and trust companies) to help optimise their governance, risk management and compliance with regulatory requirements;
Your advice will cover areas such as compliance and risk management frameworks and monitoring programmes, as well as business conduct practices in areas such as portfolio management, fund operations, sales and product compliance, AML/CFT, outsourcing, culture and conduct, and technology risk;
Managing a team of specialists providing outsourced internal audit and risk solutions to clients. This includes conducting internal audits, outsourced regulatory inspections, operational due diligence, performing non-financial controls reviews and attestations, and assisting on AML/KYC reviews;
...
Providing advice to fund management companies, wealth managers, digital advisors, digital assets providers and other capital markets intermediaries (i.e. REIT managers, brokerages, corporate finance advisors and trust companies) to help optimise their governance, risk management and compliance with regulatory requirements;
Your advice will cover areas such as compliance and risk management frameworks and monitoring programmes, as well as business conduct practices in areas such as portfolio management, fund operations, sales and product compliance, AML/CFT, outsourcing, culture and conduct, and technology risk;
Managing a team of specialists providing outsourced internal audit and risk solutions to clients. This includes conducting internal audits, outsourced regulatory inspections, operational due diligence, performing non-financial controls reviews and attestations, and assisting on AML/KYC reviews;
...