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Regulatory Compliance Consultant — Fund Administration & Brokerage Audit (Contract 4-6 months)

OVI
Riyadh, KSA
Contract
Entry
2 months ago
Office ManagementExecutive AssistantSchedulingCorrespondenceRecord KeepingMicrosoft Office Suite
Free

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Overview

Job Title: Regulatory Compliance Consultant — Fund Administration & Brokerage Audit Riyadh

Location: Riyadh, Saudi Arabia

Employment type: Full-time

About The Role

We're searching for a specialist consulting platform placing senior regulatory experts on high-value projects for top-tier clients — Big Four firms, international banks, and financial institutions navigating complex licensing and supervisory matters.

We have live demand that exceeds supply, including immediate requests

This role is a critical component of a confidential, large-scale regulatory programme in Riyadh, Saudi Arabia.

The engagement focuses on auditing and investigating fund management entities, fund administrators, and investment brokers to ensure strict adherence to local and international financial regulations, including the KSA Capital Market Authority (CMA) framework.

This is a hands-on audit role requiring deep operational understanding coupled with regulatory expertise.

Key Responsibilities

  • Conduct deep-dive investigations and regulatory compliance audits on KSA-based fund administrators, investment brokers, and fund management entities.
  • Scrutinise the end-to-end trade lifecycle to ensure regulatory adherence, identifying operational weaknesses, control gaps, and compliance breaches.
  • Review and stress-test processes related to trade booking, execution, settlements, reconciliations, and Net Asset Value (NAV) calculations.
  • Identify regulatory gaps, operational risks, and internal control deficiencies.
  • Draft comprehensive investigative reports detailing findings and remediation strategies.
  • Partner with entity leadership and regulatory bodies to present findings and advise on corrective actions.
  • Engage directly with entity leadership and regulators on remediation efforts.
  • Collaborate with a wider engagement team supporting the regulatory programme.

Your Profile

  • Career commenced in Trade Support, Settlements, or Fund Accounting within a Fund Administrator or Investment Brokerage.
  • Demonstrated successful transition into Regulatory Compliance, Compliance Auditing, or Investigations.
  • In-depth understanding of the trade lifecycle (trade booking, settlements, NAV calculations) and its regulatory implications.
  • Proven track record in regulatory investigations, compliance monitoring, or auditing within asset management, fund administration, or brokerage.
  • Strong forensic and investigative mindset with the ability to analyse complex operational workflows and financial data.
  • Proficient in drafting investigative reports and presenting findings to senior stakeholders and regulators.
  • Available and willing to be based onsite in Riyadh for the duration of the contract.
  • Fluent in English.

What'S Offered

  • Initial contract duration of 4 to 6 months, with a realistic potential for extension up to 2 years.
  • Onsite working pattern in Riyadh, full-time.
  • Flexible monthly rate based on profile and experience.

Ideal Candidate

The ideal candidate possesses a rare hybrid background, starting their career in the operational trenches of fund administration or brokerage middle/back-office and subsequently transitioning into regulatory compliance, audit, or investigations.

They will have a granular understanding of the trade lifecycle and its regulatory application, coupled with a strong investigative mindset and the ability to effectively communicate findings to diverse stakeholders.

This role demands both practical operational insight and robust compliance expertise.

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