Mandate Compliance Specialist

1 week ago

Sydney, New South Wales, Australia beBeeCompliance Full time $90,000 - $120,000

**About the Role**

  • Monitor investment activities, restrictions, and guidelines related to mandates with investment managers.

This role will also involve monitoring the team's compliance with investment policies.

**Key Responsibilities:**

• Monitor investment limits, restrictions, and guidelines sourced from IMA’s, derivative risk statements, and other investment-related policies and agreements.

• Report breaches and assist with investigation, rectification, remedial action, and resolution with investment managers and other stakeholders.

• Manage compliance with ASIC Derivative Trade Reporting to ensure services outsourced meet compliance obligations.

• Assist with the Fund's compliance with regulatory obligations, including preparation and lodgement of the portfolio holding disclosure reporting.

• Support the Manager Investment APRA Reporting in preparation and lodgement of the fund's investment APRA reports, including RG 97 fees and costs disclosures, SRF551: Liquidity reporting, and SRF553 Valuations reporting.

• Manage and monitor the services and performance of the outsourced vendor appointed to manage the class actions program.

• Corporate Compliance and Reporting, including regulatory responses required to queries from APRA, ASIC, or the ATO.

• Maintain critical operations mapping and all associated monitoring of triggers, tolerance, and outages for compliance with CPS230: Outsourcing.

• Provide regular reporting to the Risk Audit & Compliance Committee and Board on critical operations.

• Participate in ad-hoc projects and ongoing process improvements.

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