Investment Compliance Analyst
3 days ago
Investment Compliance Analyst
The Investment Compliance Analyst role involves daily monitoring of rules within client IMA's and assisting in the investment process. This role requires direct interaction with clients and investment managers to ensure quality service delivery by responding to queries, resolving issues, and participating in client service meetings and reviews. Additionally, the analyst will assist clients with related monitoring activities such as Substantial Shareholder, Exposure, and derivatives monitoring.
Responsibilities :
- Deliver investment compliance monitoring services.
- Act as a contact point for client and investment manager queries.
- Ensure prompt action on requests and issues.
- Meet with clients to maintain high service standards.
- Assist with changes to improve client services.
- Support new activity setup and onboarding.
- Help with business requirements, UAT, implementation plans, and project governance.
- Optimize operational processes
Requirements :
2-3 years of experience in Investment Compliance or related field.Tertiary qualifications preferred but strong industry experience consideredInterpret investment mandate agreements and set up rules.Investigate breaches and communicate with investment managers and clients.Resolve production issues and client queries.Perform data maintenance and reporting.Build technical capability through training and research.Maintain procedures, risk, and control guidelines.Implement service and process improvements.Ensure compliance with internal policies.Understand financial markets and instruments.Strong Microsoft Excel skills.Skills :
Intermediate MS Excel, PowerPoint, Word.Project / Business Analyst skills.Strong written and verbal communication.Good judgment in client commitmentsJ-18808-Ljbffr
#J-18808-Ljbffr-
Investment Compliance Analyst
2 days ago
Sydney, New South Wales, Australia Ambition Full timeInvestment Compliance AnalystDirect message the job poster from AmbitionRecruitment Consultant- Banking & FinanceInvestment Compliance AnalystThe Investment Compliance Analyst role involves daily monitoring of rules within client IMA's and assisting in the investment process. This role requires direct interaction with clients and investment managers to...
-
Sydney, New South Wales, Australia UBS Full timeCompliance Control Analyst – Investment Suitability & Cross Border Join to apply for the Compliance Control Analyst – Investment Suitability & Cross Border role at UBSCompliance Control Analyst – Investment Suitability & Cross Border Join to apply for the Compliance Control Analyst – Investment Suitability & Cross Border role at UBSJob Reference...
-
Investment Operations Analyst
3 days ago
Sydney, New South Wales, Australia Buscojobs Full timeInvestment Operations Analyst | Investment ComplianceOpportunity for an experienced Investment Compliance Analyst to join a global financial institution in Sydney CBD.Role : Investment Compliance AnalystLocation : Sydney CBDAbout the RoleMars Recruitment is currently working with a global financial institution seeking an Investment Compliance Analyst in...
-
Sydney, New South Wales, Australia UBS Full timeCompliance Control Analyst – Investment Suitability & Cross BorderJoin to apply for the Compliance Control Analyst – Investment Suitability & Cross Border role at UBSCompliance Control Analyst – Investment Suitability & Cross BorderJoin to apply for the Compliance Control Analyst – Investment Suitability & Cross Border role at UBSJob Reference...
-
Sydney, New South Wales, Australia UBS Full timeCompliance Control Analyst – Investment Suitability & Cross BorderJoin to apply for the Compliance Control Analyst – Investment Suitability & Cross Border role at UBSCompliance Control Analyst – Investment Suitability & Cross BorderJoin to apply for the Compliance Control Analyst – Investment Suitability & Cross Border role at UBSJob Reference...
-
Investment Compliance Specialist
2 days ago
Sydney, New South Wales, Australia beBeeInvestment Full time $100,000 - $150,000Compliance Analyst - Investment Suitability The Compliance Control Analyst plays a vital role in enhancing the effectiveness of business-critical processes and controls to safeguard UBS. Drive or work as a team member on investment suitability and cross-border controls review and testing of UBS Global Wealth Management division.Analyze and assess risks...
-
Investment Compliance Professional
4 hours ago
Sydney, New South Wales, Australia beBeeCompliance Full time $100,000 - $130,000Investment Compliance SpecialistThis role involves daily monitoring of investment rules and regulations, ensuring quality service delivery by responding to queries, resolving issues, and participating in client meetings and reviews.The successful candidate will have the opportunity to assist clients with related monitoring activities such as Substantial...
-
Analyst, Investment Operations
4 weeks ago
Sydney, New South Wales, Australia Aware Super Full timeJoin to apply for the Analyst, Investment Operations role at Aware SuperJoin to apply for the Analyst, Investment Operations role at Aware SuperAs one of Australia's largest profit-for-members superannuation funds, we always remember whose money it is and whose future we're looking after. We work to reimagine a new way forward for our 1.1 million members and...
-
Analyst, Investment Operations
4 weeks ago
Sydney, New South Wales, Australia Aware Super Full timeJoin to apply for the Analyst, Investment Operations role at Aware SuperJoin to apply for the Analyst, Investment Operations role at Aware SuperAs one of Australia's largest profit-for-members superannuation funds, we always remember whose money it is and whose future we're looking after. We work to reimagine a new way forward for our 1.1 million members and...
-
Investment Analyst
2 days ago
Sydney, New South Wales, Australia Capstone Full timeDirect message the job poster from Capstone RecruitmentDirector - Property & Development Recruitment at CapstoneOur client, a high-performing private investment and development group, is seeking an ambitious Investment Analyst to support their expanding portfolio of strategic investments, with a core focus on real estate development. This rare opportunity...
