Investment Compliance Analyst

1 week ago

Sydney, New South Wales, Australia Anton Murray Consulting Full time

Sydney- Asset Management- Contract or TemporaryThis is an exceptional new
6-month contract as an
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, they are seeking an Analyst for an initial 6 month contract duration.

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.
  • Strong understanding of financial markets and investment management processes, including the drivers behind market movements.
  • Investment Compliance or mandate monitoring experience (2+ years) from either a custody or funds management background
  • Tertiary qualification and/or industry specific qualification such as CIPM, CFA or FRM
The pay on offer is
variable based on prior experience. And likely paid initially on a daily rate, with the opportunity to extend to a permanent position.

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