Senior Investment Compliance Specialist
1 week ago
The Investment Operations team is seeking a skilled professional to manage investment compliance and assist in the day-to-day investment process. This role will be responsible for ensuring adherence to client mandates, engaging with clients and investment managers, and assisting with related compliance activities.
- Monitor daily investment compliance rules within client mandates.
- Collaborate with clients and investment managers on guideline monitoring, responding to queries and resolving issues efficiently.
- Support compliance activities, including Substantial Shareholder, Exposure, and derivatives monitoring.
- Assist with implementing and optimising compliance processes and service enhancements.
Key Responsibilities:
- Interpret investment mandates and implement corresponding rules in compliance systems.
- Investigate and resolve breaches of mandate restrictions.
- Provide high-quality written and verbal communication skills, client-focused and great interpersonal skills.
- Proficient in Microsoft Excel and familiar with financial instruments, including derivatives.
Requirements:
- Ideally 2-3 years of experience in Investment Compliance or a related field.
- Tertiary qualification in a relevant field.
-
Senior Investment Compliance Professional
2 weeks ago
Sydney, New South Wales, Australia beBeeInvestment Full timeCompliance Monitoring SpecialistA Compliance Monitoring Specialist plays a vital role in the investment process by daily monitoring rules within client Investment Management Agreements and assisting in various aspects of investment management. This position involves direct interaction with clients and investment managers to ensure quality service delivery,...
-
Investment Compliance Officer
2 weeks ago
Sydney, New South Wales, Australia beBeeInvestment Full time $160,000 - $190,000Senior Investment Operations Specialist RoleThis strategic position combines investment compliance, operational reporting, and relationship management expertise.The ideal candidate will serve as a subject matter expert and escalation point for multiple teams, ensuring seamless execution of trade management, fund accounting, and client reporting tasks.Elevate...
-
Investment Risk and Compliance Specialist
1 week ago
Sydney, New South Wales, Australia beBeeCompliance Full time $150,000 - $200,000Job OpportunityThis is an exceptional chance to join a highly reputed industry super fund as an Investment Risk and Compliance Professional.The role involves supporting senior investment risk and compliance leaders to deliver, develop and support the investment risk and compliance framework.As a key member of the team, you will assist in enhancing the...
-
Investment Compliance Specialist
2 weeks ago
Sydney, New South Wales, Australia beBeeCompliance Full time $100,000 - $150,000Job SummaryWe are seeking a senior compliance professional to join our team in New South Wales, AU. As a key member of the investment compliance department, you will be responsible for ensuring that all investment activities are in line with regulatory requirements.About the Role:You will interpret guidelines and build rules for effective compliance...
-
Investment Compliance Analyst
3 weeks ago
Sydney, New South Wales, Australia Ambition Full timeInvestment Compliance AnalystDirect message the job poster from AmbitionRecruitment Consultant- Banking & FinanceInvestment Compliance AnalystThe 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...
-
Investment Compliance Analyst
2 weeks ago
Sydney, New South Wales, Australia Ambition Full timeInvestment Compliance AnalystDirect message the job poster from AmbitionRecruitment Consultant- Banking & FinanceInvestment Compliance AnalystThe 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...
-
Senior Investment Specialist
1 week ago
Sydney, New South Wales, Australia Jobs via eFinancialCareers Full timeJoin to apply for the Senior Investment Specialist role at Jobs via eFinancialCareers1 day ago Be among the first 25 applicantsJoin to apply for the Senior Investment Specialist role at Jobs via eFinancialCareersSenior Investment Officer (Transport) The Asian Infrastructure Investment Bank (AIIB) is a multilateral development bank whose mission is Financing...
-
Senior Investment Specialist
1 week ago
Sydney, New South Wales, Australia Jobs via eFinancialCareers Full timeJoin to apply for the Senior Investment Specialist role at Jobs via eFinancialCareers1 day ago Be among the first 25 applicantsJoin to apply for the Senior Investment Specialist role at Jobs via eFinancialCareersSenior Investment Officer (Transport) The Asian Infrastructure Investment Bank (AIIB) is a multilateral development bank whose mission is Financing...
-
Aml & Investment Compliance Analyst
6 days ago
Sydney, New South Wales, Australia Mane Consulting Full timeOverviewJoin to apply for the AML & Investment Compliance Analyst role at Mane ConsultingThe base pay range is provided by Mane Consulting.Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.Base pay rangeA$115,000.00/yr - A$135,000.00/yrAbout the OrganisationA High Profile Investment Group requires an...
-
Investment Compliance Specialist
2 weeks ago
Sydney, New South Wales, Australia beBeeResolution Full time $95,000 - $110,000About this roleThis is an exciting opportunity to join our team as a Complaints Resolution Specialist, where you will play a pivotal part in shaping the future of investing in Australia.In this role, you will be responsible for expertly managing and resolving customer complaints within our Internal Dispute Resolution (IDR) framework. Your primary...
