Investment Risk and Compliance Analyst

2 weeks ago

Sydney, Australia Kaizen Recruitment Full time

A leading investment fund manager
- High performing and collaborative team
- 12 month fixed-term contract | Sydney CBD

**About the Company**

Our client is a leading investment management firm with nearly four decades of experience. Established by industry pioneers, they specialise in active management of listed equity strategies, including Asia Pacific equity and multi-asset strategies. They have a global presence and are committed to responsible investing, and offer a range of investment solutions tailored to clients worldwide, including superannuation funds, financial institutions, endowments, charities, family offices, financial advisers, wholesale investors, and retail investors.

**About the Role**

The Investment Compliance and Risk Analyst role will play a vital role in monitoring and enforcing investment compliance standards and processes within the organisation. This is a maternity leave 11-12 month fixed-term contract role that will support the risk assurance and compliance efforts to enhance governance frameworks, particularly focusing on investment risk management. Reporting to the Chief Risk Officer (CRO), the successful person will help drive a culture of risk awareness and compliance across the organisation, integrating best practices into all business areas.

**Key Responsibilities**:

- Oversee day-to-day execution of investment compliance tasks, ensuring adherence to guidelines and risk thresholds.
- Monitor trading activities and conduct regular oversight of alerts, and investigate incidents;
- Review pre-trade and post-trade compliance, and potential breaches using investment compliance management systems;
- Review investment compliance guidelines and operational procedures to ensure effectiveness of controls within the compliance framework, and conduct quality control testing and analysis for efficiency;
- Support the CRO in enhancing and reporting on the governance, risk and compliance framework; AND
- Review policies and procedures, and provide training to the broader team as needed.

**Qualification, Skills, Knowledge, and Experience**:

- Tertiary qualifications in Commerce, Finance, Economics, Law, or a similar discipline;
- Proven experience in senior investment related roles, with at least 2 years’ experience within Investment Compliance Management;
- Highly developed understanding of the Australian and international funds management industry and investment market;
- A deep knowledge of governance, risk and compliance frameworks;
- Strong ability to multitask and work to a deadline, highly motivated with a strong work ethic;
- Sound analytical and problem-solving skills.

SCR-fina-halim

SCR-amanda-chisholm

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