Investment Monitoring Specialist

7 days ago

Sydney, New South Wales, Australia beBeeInvestmentCompliance Full time
Investment Compliance Analyst

The Investment Compliance Analyst role involves daily monitoring of rules within client investment management accounts and assisting in the investment process. This role requires direct interaction with clients and investment managers to ensure quality service delivery by responding to queries, resolving issues, and participating in client service meetings and reviews.

Key Responsibilities :

  • Deliver high-quality investment compliance monitoring services.
  • Act as a primary contact point for client and investment manager queries.
  • Ensure prompt action on requests and issues.
  • Maintain regular communication with clients to meet high service standards.
  • Collaborate with stakeholders to improve client services.
  • Support new activity setup and onboarding processes.
  • Contribute to business requirements, UAT, implementation plans, and project governance initiatives.
  • Optimize operational processes to enhance efficiency.

Required Skills and Qualifications :

  • A minimum of 2-3 years of experience in Investment Compliance or a related field.
  • Tertiary qualifications are preferred but strong industry experience is considered.
  • Ability to interpret investment mandate agreements and set up rules.
  • Investigate breaches and communicate effectively with investment managers and clients.
  • Resolve production issues and client queries efficiently.
  • Perform data maintenance and reporting tasks accurately.
  • Develop technical capability through ongoing training and research.
  • Maintain procedures, risk, and control guidelines effectively.
  • Implement service and process improvements to enhance productivity.
  • Ensure compliance with internal policies and regulatory requirements.
  • Have a solid understanding of financial markets and instruments.
  • Strong Microsoft Excel skills are essential.

Skills :

  • Intermediate MS Excel, PowerPoint, Word skills.
  • Project / Business Analyst skills.
  • Excellent written and verbal communication skills.
  • Good judgment in client commitments.

About this Role :

This is an exciting opportunity to join our team as an Investment Compliance Analyst and contribute to the growth and success of our organization. If you have a passion for finance and a strong desire to learn, we encourage you to apply for this role.

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