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

Overview

Riyadh, Saudi Arabia

About the Role

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