Compliance Monitor

6 days ago

Sydney, New South Wales, Australia beBeeInvestment Full time $90,000 - $140,000

Investment Compliance Specialist

Key Responsibilities:
  • Monitor and enforce investment compliance rules within client IMA's.
  • Collaborate with clients and investment managers to deliver quality service through timely query responses, issue resolution, and participation in client meetings and reviews.
  • Support monitoring activities such as Substantial Shareholder, Exposure, and derivatives monitoring.
Requirements:
  • At least 2-3 years of experience in Investment Compliance or a related field.
  • Tertiary qualifications preferred but strong industry experience considered.
Skills and Abilities:
  • Strong analytical and problem-solving skills.
  • Excellent written and verbal communication skills.
  • Ability to interpret investment mandate agreements and set up rules.
  • Capacity to investigate breaches and communicate with investment managers and clients.
  • Proficiency in Microsoft Excel, PowerPoint, and Word.
  • Project management and business analyst skills.
Other Requirements:
  • Strong understanding of financial markets and instruments.
  • Good judgment in client commitments.

  • Compliance Monitor

    1 week ago

    Sydney, New South Wales, Australia beBeeCompliance Full time $130,000 - $165,000

    Job DetailsThis role is centered around overseeing and enhancing the compliance monitoring framework within a financial institution. The successful candidate will be responsible for implementing robust monitoring programs, escalating concerns, and providing recommendations to improve overall compliance.Main ResponsibilitiesDesigning and coordinating ongoing...

  • Monitoring and Compliance Specialist

    7 days ago

    Sydney, New South Wales, Australia beBeeCompliance Full time $120,000 - $150,000

    Key Role: Monitoring & Compliance SpecialistThis key role focuses on the development and enhancement of a robust monitoring and review framework within Participants Compliance. The incumbent will work closely with stakeholders to identify potential areas of non-compliance and implement corrective actions.Job Responsibilities:Manage the compliance...

  • Compliance Portfolio Monitor

    3 days ago

    Sydney, New South Wales, Australia beBeeInvestment Full time $80,000 - $120,000

    Job DescriptionThe role of the Investment Compliance Specialist requires day-to-day monitoring of rules within client portfolios. The specialist will work with clients and/or investment managers to ensure a quality service delivery experience.Key responsibilities include performing IMA monitoring, assisting clients with related activities, and ensuring...

  • Senior Compliance Monitoring Professional

    5 days ago

    Sydney, New South Wales, Australia beBeeCompliance Full time $120,000 - $160,000

    Job OverviewWe are seeking a senior professional to lead our compliance monitoring program, ensuring adherence to regulatory requirements and driving continuous improvement across the organization.Main Responsibilities:Develop and implement risk-based monitoring programs to ensure compliance with applicable legislation.Identify gaps in current processes and...

  • Compliance Specialist

    5 days ago

    Sydney, New South Wales, Australia beBeeEnvironmental Full time $125,487 - $138,386

    About the RoleThe Team Leader, Early Change Monitoring oversees a team delivering critical aspects of the ECM Program.Key responsibilities include:Leading a team of up to 5 direct reports to deliver the Early Change Monitoring Program by assessing satellite detections of potential land clearing activities and engaging directly with landholdersDriving program...

  • Transaction Monitoring, Compliance Associate

    5 days ago

    Sydney, New South Wales, Australia Jpmorganchase Full time

    **JOB DESCRIPTION**Are you ready to make a significant impact in the fight against financial crimes? You will be at the forefront of ensuring compliance and mitigating risks in a dynamic and supportive environment. Join us in a role that not only enhances your career but also contributes to the safety and integrity of the financial system.As a Transaction...

  • Broker Monitoring

    5 days ago

    Sydney, New South Wales, Australia Rea Group Full time

    Join our collaborative Mortgage Choice team to continually improve, develop and evolve so that the business and combined broker group delivers the highest quality of advice to support customers through their property journey- Permanent role based in Melbourne or SydneyWe're REAWith bold and ambitious goals,- REA Groupis changing the way the world experiences...

  • Monitoring and Review Specialist

    2 weeks ago

    Sydney, New South Wales, Australia beBeeCompliance Full time $103,000 - $143,500

    Job Title: Compliance SpecialistWe are seeking a skilled professional to support the development of a robust monitoring and review framework for our participants. The ideal candidate will have a strong understanding of financial markets, products, and risk methodologies.About This RoleThis role is responsible for managing compliance relationships with...

  • Senior Adviser, Monitoring

    1 week ago

    Sydney, New South Wales, Australia ASX Full time $90,000 - $120,000 per year

    *ASX: Powering Australia's financial marketsWhy join the ASX?*When you join ASX, you're joining a company with a strong purpose – to power a stronger economic future by enabling a fair and dynamic marketplace for all.In your new role, you'll be part of a leading global securities exchange with a strong brand. We are known for being a trusted market...

  • Financial Monitoring Specialist

    4 days ago

    Sydney, New South Wales, Australia beBeeCompliance Full time $72,495 - $80,033

    Job Title: Financial Monitoring SpecialistWe are seeking a highly skilled and motivated individual to join our team as a Financial Monitoring Specialist. The successful candidate will be responsible for monitoring and assessing the compliance of reporting entities with their obligations under the Anti-Money Laundering and Counter-Terrorism Financing Act 2006...