Investment Compliance Specialist

6 days ago

Sydney, New South Wales, Australia beBeeRegulatory Full time $140,000 - $225,000
Compliance Investment Services Career

The ideal candidate will be responsible for ensuring the integrity of clients' investment activities by interpreting guidelines and mandates, developing logic-based rules for effective compliance monitoring.

Key responsibilities include implementing client requirements for prospectus and rule changes on the compliance platform, conducting root-cause analysis of investment exceptions, resolving compliance exceptions by communicating with clients and fund managers, and preparing comprehensive manual regulatory reports.

Additionally, the successful candidate will stay informed on regulatory developments, provide insights and strategic recommendations to management, and collaborate with clients to review and implement changes in global post-trade monitoring regulations.

  • Key Skills:
  • Strong understanding of financial services, mutual funds, and stock broking
  • Proficiency in software applications and systems for post-trade compliance monitoring and reporting
  • Working knowledge of guideline coding on compliance systems like Charles River, Sentinel, and Aladdin
  • Excellent analytical and problem-solving skills

A graduate or postgraduate degree is required, along with at least 8 years of experience in the industry. The ideal candidate will also possess a strong knowledge of global regulatory requirements affecting post-trade activities and understand complex instruments, fixed income, and equity products in depth.

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