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Regulatory Compliance Investigator – Fund Administration & Investment Operations

RGH-Global Limited607 open roles

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Your applicationOpen nowRegulatory Compliance Investigator – Fund Administration & Investment OperationsRGH-Global Limited

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This job: first seen 5 days ago

The posting

Regulatory Compliance Investigator – Fund Administration & Investment Operations

Location: Riyadh, Kingdom of Saudi Arabia Contract Type: 4–6 Month Initial Contract (High likelihood of extension up to 2 years) Industry: Financial Services / Asset Management / Regulatory Consulting

We are partnering with a leading global consultancy on a large-scale regulatory transformation and investigative engagement across the Kingdom of Saudi Arabia.

This project focuses on reviewing, investigating, and auditing regulated financial institutions including fund managers, fund administrators, custody providers, and investment brokers to ensure adherence to regulatory and operational standards across the investment lifecycle.

We are seeking experienced professionals with deep expertise across fund operations, investment operations, and regulatory compliance investigations.

The Opportunity

As a Regulatory Compliance Investigator, you will play a critical role in conducting operational and regulatory reviews across financial institutions.

You will work closely with senior stakeholders, compliance leaders, regulators, and operational teams to assess processes, identify risks, investigate breaches or deficiencies, and ensure alignment with local and international regulatory expectations.

This role is ideal for professionals who have hands-on experience across middle-office, back-office, fund administration, trade operations, settlements, NAV oversight, reconciliations, and regulatory compliance.

Key Responsibilities

  • Conduct investigations and operational reviews across fund managers, fund administrators, brokers, and investment firms.
  • Assess firms' compliance with regulatory frameworks, governance standards, and operational controls.
  • Review and analyse end-to-end trade lifecycle processes including: Trade booking Settlements Cash & securities reconciliations NAV calculations Corporate actions Custody operations
  • Identify operational weaknesses, control gaps, and regulatory breaches.
  • Perform documentation reviews, transaction testing, and control assessments.
  • Prepare detailed investigation reports and remediation recommendations.
  • Engage directly with client stakeholders, operational teams, and senior management.
  • Support regulatory audits, remediation programmes, and risk assessments.
  • Ensure adherence to AML, financial crime, conduct risk, and operational risk standards where applicable.
  • Collaborate with consulting and regulatory teams on high-profile market-wide initiatives.

Required Experience

  • 5+ years of experience within: Fund Administration Investment Operations Asset Management Operations Regulatory Compliance Financial Services Audit Regulatory Investigations
  • Strong understanding of the investment operations lifecycle.
  • Hands-on experience with: Trade settlements Fund accounting NAV calculations Reconciliations Custody operations Investment operations controls
  • Experience working within: Asset Managers Fund Administrators Custodians Investment Banks Regulatory bodies Big 4 / Consulting firms
  • Knowledge of regulatory frameworks within financial services and capital markets.
  • Strong analytical, investigative, and stakeholder management skills.
  • Ability to work in fast-paced, high-pressure regulatory environments.

Preferred Background

  • Experience working on regulatory remediation, investigations, or audit programmes.
  • Exposure to GCC or Middle East financial services markets.
  • Knowledge of CMA regulations or regional regulatory frameworks is advantageous.
  • Previous consulting or regulator experience highly desirable.

Why Join This Project?

  • Opportunity to work on a landmark regulatory engagement in the GCC.
  • Long-term contract potential with strong extension likelihood.
  • Exposure to senior stakeholders and major financial institutions.
  • Work alongside one of the world's leading consulting firms.
  • Highly visible project with significant market impact.

Interested?

If you have a strong background across fund operations and regulatory compliance investigations and are open to opportunities in the Middle East, we would love to speak with you.

Please apply or reach out directly for a confidential discussion regarding project scope, timelines, and day rates.

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