Compliance Analyst- Investment Management

2 weeks ago

Sydney, Australia u&u Recruitment Partners Full time

Who are u&u partnering with?

u&u Recruitment Partners is pleased to partner with a world-class asset manager operating from over 30 locations across Australia, Europe, Asia and the Middle East. Due to some

What will U be doing?

Working directly with the Head of Compliance and Risk, you would be responsible for managing operational requirements of the compliance function for Australia.

You partner predominantly with the Singapore office to deliver on regulatory requirements, monitoring compliance and managing any regulatory and reputational risks.

**Duties and Responsibilities include**:
Oversight and review of compliance with substantial shareholdings monitoring and reporting;
AML client due diligence SME for Australia;
Client compliance reviews and RFP responses;
Ensure compliance framework has been adhered to as part of the compliance monitoring programme;
Prepare monthly compliance reports for clients;
Respond and investigate alerts (e.g. market abuse monitoring, personal securities dealing);
RG 146 training and roll out compliance training and monitoring;
Participate in local and Group projects;
Assist Head of Compliance and Risk to prepare Compliance Committee Governance and Risk Committee packs; and

General administrative tasks to support the team.

What will U be offered?

Discretionary yearly bonus;
Upskilling, training and global secondments available;
Paid parental leave for both female and males;
Super paid on any unpaid parental leave;
2 Days of Wellbeing leave per year;
Mondays and Fridays WFH; and

5 days of additional leave available to purchase yearly.

What do U need to succeed in this role?

2-4 years relevant work experience within funds management preferably in Compliance, Operational Risk or Audit;
Good knowledge of financial securities, including equities, fixed interest and derivatives gained through either tertiary studies or work experience;
Knowledge of the Australian regulatory regime and regulatory requirements;
Excellent problem solving and analytical skills;
Desire to develop compliance skills and work within the compliance industry; and

Ability to communicate effectively with staff of all levels.

This is a fantastic opportunity to step into a high performing business, within a team that will give you a vast amount of exposure.

Please submit your resume in Word format only.

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