The Client provides internal and external clients with assistance related to the annual audits and/or interim regulatory SEC filings across a diverse set of registered mutual funds and non-registered funds, including, but not limited to, common and collective trust funds, partnerships, and hedge funds that invest in a wide array of investment strategies and asset classes. The group is responsible for the preparations and reviews of fund financial statements in a timely manner while also ensuring accuracy and quality of the reports. The group provides assistance to audit firms in the processes and procedures associated with their annual fund audits for both the registered and non-registered fund base, as well as ensuring the timely and accurate filings of the SEC Forms N-CSR, N-Q, N-MFP and N-PORT for the registered mutual fund base.
- Management of the day to day operations of the team consisting of 3-5 staff, allocation and organization of staff assignments, providing relevant feedback to staff, training and development of the staff.
- Review of staff preparations of fund financial statements and schedules of investments as well as coordination and drafting of the notes to the financial statements for annual and semiannual shareholder reports for registered and non-registered funds.
- Review of schedules of investments for registered funds Form N-Q filings.
- Manage fund and audit/client cycle deadlines and staff work load to ensure deliverables are met and completing reviews to ensure accurate and timely filings.
- Coordination of audits related to staff assignment of auditor open items and client questions and comments.
- Technical resource for staff regarding questions related to new investment/derivative products, financial statement preparation questions and auditor questions.
- Assist with the on-boarding of new clients
- Conduct performance management for staff; participate in on-going discussions with staff related to performance and development within role. Provide timely feedback to staff regarding performance and preparations or financial statements or other tasks.
- Complete ad hoc duties and or projects as assigned.