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Investment Compliance Analyst, Artega

4 months ago

Sydney Central Business District, Australia Challenger Full time

Artega is a joint venture between Challenger Limited and SimCorp to provide investment administration services to the market._
- Artega is a technology led investment administration business offering front, middle and back office services to investment managers and asset owners in Australia and Asia. The business currently supports over $100Bn for its clients and has 140 staff located in Sydney and London. The business utilises the SimCorp Dimension software as its core technology platform._

Role Purpose:
This role sits within the Investment Compliance team. The Investment Compliance team provides pre & post trade investment compliance services to Artega’s clients, including the Challenger Life Company and Fidante’s Boutique Investment Managers.

The Investment Compliance Analyst role will be responsible for the completion of the daily, monthly, quarterly and ad-hoc tasks performed by the Investment Compliance team. This includes pre-trade / post trade compliance analysis, shareholder disclosure reporting, short position reporting and compliance rule setup / maintenance.

Role Responsibilities:
Pre-Trade & Post-Trade Investment Compliance Monitoring:

- Providing accurate, concise, and timely analysis of non-compliance events to Challenger and the Boutique Fund Managers.
- Providing reporting analysis to Front Office, Risk & Compliance and Product/Institutional Client Services Teams.
- Liaising with Investment Operations teams to address issues with static data/trade bookings.
- Analysing new or amended Investment Guidelines to identify any monitoring gaps and provide feedback where necessary.
- Drafting, testing, and reviewing compliance rules within Dimension (Compliance Manager)
- Producing the monthly presentation pack for reported non-compliance events
- Performing daily, monthly, and quarterly scheduled tasks.
- Analysing any compliance issues and escalating to management when required
- Improving the team’s processes, controls, and documentation
- Maintaining Insider Trading / Trade Blocks in SimCorp Dimension
- Uploading short position reports to IRESS

Substantial Shareholding Reporting
- Providing accurate and timely Substantial Shareholder reporting.
- Identifying where any 603, 604 or 605 lodgements are required.
- Compiling substantial shareholding lodgement data to submit to the Company Secretary.

Project Support:

- Assisting the Team Leader & SME with ad-hoc projects including process improvement initiatives and new module implementations.

Role Requirements:

- Knowledge of financial markets, instruments, corporate actions and funds management
- 2+ years’ experience in the finance industry
- 2+ years’ experience in Investment Compliance / Mandate Monitoring
- Experience of Back Office / Middle Office functions across a range of instrument types, including Equities, Fixed Interest and Derivatives
- Experience of using SimCorp Dimension or similar investment management systems
- Relevant tertiary education plus relevant industry accreditation
- We value inclusion and diversity of thought, promote flexible working practices so our people can integrate their work and personal lives, and are proud to be a Workplace Gender Equality Agency (WGEA) Employer of Choice for Gender Equality._
- We believe in bringing your authentic self and a belonging in our culture. We are prideful in participating in the Australian Workplace Equality Index (AWEI) as a national benchmark on LGBTQ+ workplace inclusion and best practice in Australia. We offer the opportunity for a broad career experience and value people who are inquisitive and rigorous and are driven to make a difference._

Job type:
Permanent

Posting Close Date:
17/03/2023