Investment Compliance Analyst
This is an exceptional new Investment Compliance Analyst that has just become available with a prominent global custody services client in their Sydney office.
Our client is a prominent global financial services firm, with a thriving Australian custody services business. As part of their small Investment Compliance team
The role sits within the Investment Analytics division and provides compliance monitoring, Substantial Shareholder monitoring, plus investment analytics services.
The key responsibilities of the Investment Compliance Analyst are as follows:
- Work with clients to ensure an ongoing high level of service
- Regular production, auditing and delivery of timely and accurate compliance monitoring for clients, ensuring adherence to procedures and control checks, on a daily / monthly / quarterly basis
- Investigate breaches of mandate restrictions, and then identify and communicate the cause to investment manager and clients
- Maintenance and requests to ensure complete reporting, such as adding rules, portfolios, benchmarks, and custom reporting as needed
- Ensure appropriate procedures, risk and control guidelines are maintained and adhered to, and identify, update and maintain gaps in controls and procedures.
- Ensure Compliance of all processes with internal policies and procedures.
The ideal candidate will have the following attributes
- Strong understanding of financial markets and investment management processes, including the drivers behind market movements.
- Investment Compliance or mandate monitoring experience (3+ years) from either a custody or funds management background
- Tertiary qualification and/or industry specific qualification such as CIPM, CFA or FRM
- Knowledge of technical financial concepts used in compliance monitoring, such as derivative exposures, credit ratings, duration measures and instrument types, and how to calculate, apply and understand them.
The pay on offer is variable based on prior experience and is likely paid initially on a daily rate, with the opportunity to extend to a permanent position.