Investment Compliance Advisor

2 weeks ago

Sydney, New South Wales, Australia beBeeCompliance Full time $100,000 - $140,000

Job Summary:

We are seeking a skilled Compliance Specialist to join our team in Sydney.

About the Role:

The Compliance Specialist will play a crucial role in ensuring adherence to client investment mandates and supporting day-to-day investment activities.

Main Responsibilities:

  • Monitor investment compliance rules within client portfolios.
  • Engage with clients and investment managers on guideline monitoring, responding to queries and resolving issues efficiently.
  • Assist in compliance activities such as Substantial Shareholder, Exposure, and derivatives monitoring.
  • Support service delivery with a focus on timeliness and client satisfaction.
  • Collaborate with internal teams to enhance service quality and address operational issues.
  • Assist in implementing and optimizing compliance processes and service improvements.
  • Participate in new client onboarding and activity setup.
  • Contribute to business requirement documentation, UAT, and project governance.

Requirements:

To be successful in this role, you should have:

  • 2-3 years of experience in Investment Compliance or a related field.
  • Ability to interpret investment mandates and implement rules in compliance systems.
  • Experience investigating and resolving breaches of mandate restrictions.
  • Strong communication skills, client-focused with excellent interpersonal abilities.
  • Proficiency in Microsoft Excel and familiarity with financial instruments, including derivatives.
  • Experience with Bloomberg, Hi-Portfolio (desirable).
  • Tertiary qualification in a relevant field.

How to Apply:

Please apply via the provided link or contact us directly for a confidential discussion. Add your cover letter to support your application and upload your CV to accompany your application.

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