Investment Risk Manager

4 days ago


Sydney, New South Wales, Australia beBeeCompliance Full time $115,000 - $135,000
Job Overview

The role of AML & Investment Compliance Analyst plays a vital part in a high-profile investment group due to its exciting growth phase in new business.

About the Role
  • Investment guidelines and rules are monitored daily within client portfolios.
  • Clients and the front office collaborate on all aspects of investment guideline reviews to ensure adherence to mandates and risk profiles.
  • AML/CTF compliance requirements and client onboarding are overseen.
  • Compliance and operations documentation (KYC, AML, trade support) are maintained.
  • Clients are assisted with related surveillance activities such as substantial shareholder, ethical issues, and exposure ratios.
  • Queries and report requests from fund managers are handled by the key point of contact.
  • Regular meetings with clients focus on efficiency and accuracy as measured by SLAs, KPIs, and client feedback.
  • New rule setup and onboarding activities are supported.
  • Business requirements documents, UAT, and implementation plans are maintained, along with project governance documentation.
  • Investment mandate objectives are interpreted into investment rules and implemented within the compliance platform.
  • Breaches of mandate restrictions are investigated, critical factors identified, and communicated with both the front office and clients.
  • Data maintenance and rule enhancement requests are submitted to improve mandate compliance.


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