Investment Compliance Analyst

3 weeks ago

Sydney, Australia Ambition Group Full time

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 considered
- Interpret 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 commitments

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