Investment Compliance Officer

1 week ago

Sydney, New South Wales, Australia beBeeInvestment Full time $160,000 - $190,000
Senior Investment Operations Specialist Role

This 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 issues for trade management, fund accounting, and client reporting teams;
  • Maintain operational relationships with external partners, guaranteeing their servicing needs are met;
  • Coordinate the implementation of operational changes, including data collection and system updates;
  • Review and manage due diligence questionnaires, ensuring accurate responses;
  • Monitor and review pre-trade and post-trade compliance for funds and mandates, engaging with Investment Managers on breaches;
  • Ensure daily regulatory reporting obligations are met;
  • Provide advice on complex corporate action accounting and review/approve processed actions;
  • Review and approve compliance reporting and data requests;
  • Coordinate onboarding and offboarding of new products, ensuring compliance rules are implemented;
  • Support preparation and review of annual and half-year statutory accounts and compliance plan audits;
  • Deliver regular reporting to senior management on fund activities and compliance matters;
  • Contribute to operational improvement projects, ensuring efficiencies across compliance and reporting functions;
  • Mentor junior staff and prepare training material for broader team capability;
  • Stay up-to-date with financial services regulation and industry best practice.
Essential Skills and Qualifications
  • Degree in Accounting, Business, Economics, or related discipline;
  • CA/CPA/CFA qualification or working towards;
  • Minimum 5 years' experience in investment/funds management, ideally in middle or back office;
  • Strong knowledge of compliance obligations under relevant legislation;
  • High-level knowledge of portfolio and order management systems;
  • Advanced Microsoft Excel skills and strong proficiency in Microsoft Office Suite;
  • Understanding of unit pricing, portfolio valuation, and the trade lifecycle;
  • Excellent written and verbal communication skills;
  • Strong analytical and problem-solving skills, with a focus on accuracy and process improvement.
Job Requirements

To be considered for this role, please submit your application along with your resume and a cover letter outlining your experience and qualifications.

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