Investment Compliance Analyst
Your new company
This company are a very well respected, foreign bank based in Sydney. They offer a dynamic, thriving and flexible working culture. Your new role
The Investment Compliance Analyst role sits within the Performance & Compliance Client Delivery team. The role performs day to day monitoring of rules within client IMA, assisting in the day-to-day investment process.
What you'll need to succeed
- Investment compliance monitoring services
- Act as a contact point in the event of client and/or investment manager queries and requests
- Assist clients with related monitoring activities such as Substantial Shareholder, Exposure and derivatives monitoring
- Involved in all aspects of IMA monitoring to ensure a quality-service delivery experience by responding to client queries, resolving issues and participating in client service meetings and reviews.
- Interpret investment mandate agreements into investment rules and set up these corresponding rules
- Investigate breaches of mandate restrictions, identify critical factors and communicate this with both investment manager and client
- Ensure appropriate procedures, risk and control guidelines are maintained and adhered to, and identify, update and maintain gaps in controls and procedures.
- Maintenance and requests to ensure complete reporting, such as adding rules, portfolios, benchmarks, and custom reporting as needed.
What you'll get in return
- Tertiary qualifications in a relevant discipline e.g. Commerce, law, accounting or similar
- 2 years + experience in experience in Investment Compliance
- Understanding of financial markets, including all instrument types and derivatives
- Desirable but not essential: VBA, SQL, Datastream, Bloomberg
- Client focus - delivers consistently a high standard of client service
Global bank offering a permanent role in Investment Compliance based in Sydney CBD What you need to do now
Please apply now online or email your CV directly to email@example.com to be considered. LHS 297508