Investment Regulatory Specialist

3 days ago

Sydney, New South Wales, Australia beBeeCompliance Full time

Compliance Monitoring Specialist

We are seeking an experienced Compliance Monitoring Specialist to join our team in Sydney CBD. The role is part of the Client Delivery team and is essential to the investment compliance monitoring process, ensuring adherence to client IMAs and supporting the day-to-day investment activities.

The successful candidate will have industry experience in Investment Compliance, with the ability to interpret investment mandate agreements. They will liaise directly with clients and investment managers regarding investment guideline monitoring and ensure high-quality service delivery.

Key Responsibilities :

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

Skills & Qualifications :

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

Please submit your application via the provided link for consideration. We look forward to reviewing your CV and cover letter.

Benefits :

  • Ongoing professional development opportunities.
  • Collaborative and dynamic work environment.
  • Opportunity to work with a leading global financial institution.

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