Internal Auditor - Regulatory Compliance

About the Role

Kaizen Asset Management Services is looking for a seasoned Internal Auditor - Regulatory Compliance to join our team. In this critical role, you will ensure that our operations adhere to applicable laws and regulations while promoting ethical standards within the organization. The Internal Auditor will report directly to the Audit Committee and work closely with various departments to assess and improve compliance processes.

This position offers the opportunity to contribute directly to the integrity of our financial and operational practices while fostering a culture of compliance throughout the organization.

Key Responsibilities

• Regulatory Auditing:
Conduct thorough audits of company policies, procedures, and practices to ensure compliance with regulatory requirements.

• Compliance Risk Assessment:
Identify, analyze, and mitigate risks associated with regulatory compliance failures.

• Internal Controls Evaluation:
Assess the adequacy and effectiveness of internal controls and recommend improvements as necessary.

• Regulatory Reporting:
Prepare and present findings on compliance issues to management and stakeholders, ensuring transparency and accountability.

• Training & Awareness:
Develop training and awareness programs to promote compliance culture across departments.

• Follow-Up & Monitoring:
Monitor corrective actions taken in response to audit findings to ensure compliance and operational effectiveness.

• Documentation & Record Keeping:
Maintain organized records of audit activities, compliance documentation, and reports.

• Continuous Improvement:
Evaluate the effectiveness of compliance programs and policies, and contribute to their enhancement.

• Stay Updated:
Keep abreast of changes in regulations that may affect the organization and proactively address these changes.

Requirements:
Qualifications

• Bachelor's degree in Finance, Accounting, Business Administration, or a related field
• Minimum of 4 years of experience in internal auditing or regulatory compliance, preferably in the asset management or financial services sector
• Professional certification (CIA, CISA, or equivalent) is highly preferred
• Strong understanding of regulatory frameworks applicable to asset management and real estate industries
• Proven experience in conducting audits and risk assessments
• Excellent analytical, problem-solving, and critical thinking skills
• Strong attention to detail and documentation skills
• Excellent verbal and written communication skills
• Ability to manage multiple priorities and work independently in a remote setting

Key Competencies

• Strong ethical mindset with a commitment to promoting compliance integrity
• High degree of professionalism and discretion when handling sensitive information
• Ability to effectively engage and influence stakeholders at all levels
• Proficiency in audit management software and Microsoft Office Suite