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Investment Compliance
3 months ago
Sydney- Investment Banking- Contract or Temporary
The progression within this function is to progress within the Investment Compliance team, although cross-over between Investment Compliance and Performance & Attribution Analytics is relatively common.
The salary range on offer for this position will vary depending on prior experience that can translate directly to the role, although we would expect circa $90k base
Responsibilities:
- Conduct trade compliance monitoring and provide indepth analysis to clients and technical support
- 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.
- Be able to interpret investment mandate agreements into investment restrictions and set up corresponding rules within the compliance system to monitor these
- Investigate breaches of mandate restrictions, and then identify and communicate the cause to investment manager and client.
- Support client transitions and sales
- Input into our regional product roadmap, strategy and local market requirements
- Market, competitor and industry research for investment compliance
Experience Required:
- University degree qualification (post graduate degree and/or a CFA designation an advantage)
- Excellent stakeholder management skills as this role will require various communication, presentations etc.
- Client service and problem solving
- Understanding of data requirements to produce accurate results
- Proven knowledge of market leading compliance platforms
- Understanding of investment compliance product and regulatory trends
